Current | 2010 | 2009 Dean Jay Abbinanti, Registered Rep of Redondo Beach, CA Fined and Suspended 12/31/2009 Mayra Jeanette Angulo, Registered Rep of Tucson, AZ - Barred Mark Islas, Registered Rep of Tucson, AZ - Barred 12/31/2009 Peter Herbert Hackstedde, Registered Rep of Kamuela, HI - Fined and Suspended Ross William Sindelar, Registered Rep of Scottdale, AZ - Fined and Suspended 12/31/2009 Brian Joseph Hoshowski, Registered Rep of Beaverton,OR Barred 12/31/2009 Steven Craig Keifner, Registered Rep of Ventura, CA Barred 12/31/2009 First Financial Equity Corporation of Scottsdale, AZ George Edward Fischer, Registered Principal, Scottsdale, AZ 12/31/2009 SEC Accuses Austin-Based Financial Services, Insurance Firm of Fraud Kurt B. Barton, Triton Financial LLC and Triton Insurance 12/28/2009 SEC Obtains Preliminary Injunction over Limited Partnership Managed by Culver City Advisor Heath M. Biddlecome and William C. Tak - Homestead Properties 12/28/2009 SEC Mulls Surprise Audits for Investment Advisers But surprise audits donot go to the risk you are trying to address 12/15/2009 Court report claims Riverton company operated as Ponzi scheme Fraud accusation, "Twin Peaks Financial Services never was solvent" 12/07/2009 Denver businessman charged in Ponzi scam Mark J. Jackson, of Englewood 12/03/2009 Arizona Helped Bust SEC Official Who Helped Scottsdale Numerologist's Ponzi Scheme Jerome Carter and SEC Supervisor 12/02/2009 Colorado man pleads guilty after $21M Ponzi scheme Shawn Merriman, a former stockbroker 12/02/2009 Ruben A. Cruz aka Ruben Cruz-Alvarez, Registered Rep of Avondale, AZ Barred 11/30/2009 William Alson Johnson, Registered Rep of Prospect, Kentucky Barred 11/30/2009 Anastas Iliev Kalaidjiev, Associate Person of Sacramento, CA Suspended and Fined 11/30/2009 Joseph Wilbur Richard Ashwill, Registered Supervisor of Long Beach, CA Fined and Suspended 11/30/2009 Walter Lee Coulter II, Registered Rep of Riverside, CA Fined and Suspended 11/30/2009 Michael C. Metters, Registered Rep of Layton, Utah Fined and Suspended 11/30/2009 Lisa Ann Tomiko Nouchi, Registered Rep of Fairfield, CA - Fined & Suspended Marc Winters, Registered Rep of Chatsworth, CA - Fined & Suspended 11/30/2009 Thomas Wayne O’Keefe, Registered Rep of Las Vegas, NV Barred 11/30/2009 Bruce Edward Hammonds, Registered Rep of Boerne, TX Named in a $1 Million Ponzi Scheme 11/30/2009 Wells Fargo will buy back securities to settle fraud lawsuit brought by California The bank agrees to pay back investors who bought $1.4 billion in auction-rate securities 11/19/2009 Judge issues order in Ponzi scheme Speed of Wealth L.L.C., in Centennial, CO - Assets frozen 11/18/2009 Sacramento businessman suspected of running Ponzi scheme William Arthur Sassman, an insurance agent. 11/18/2009 Accountants Oppose Private Suits Over 'Reckless' Aid To Fraud Comments about Dodd's financial bill 11/18/2009 Former Cal player sentenced in fraud case Reed Diehl was sentenced in Orange County federal court Monday 11/18/2009 SEC accuses 4 people in alleged Ponzi scheme Troy Wragg, Amanda Knorr, Wayde McKelvy and Donna McKelvy 11/16/2009 Consumers could win big if Dodd's financial reform package becomes law Senate Banking Committee Chairman Chris Dodd introduces new bill 11/12/2009 Justices tackle case on investment fees Supreme Court seems disinclined to tighten oversight of mutual fund advisers 11/03/2009 William Arthur Donaldson, a Registered Rep of Yorba Linda, CA Fined and Suspended 10/30/2009 Kevin Michael Browne, a Registered Principal of Dillon Beach, CA Suspended 10/30/2009 Michael Alfred Thome, a Registered Rep of Folsom, CA Barred 10/30/2009 Nexcore Capital, Inc. of San Diego, CA Expelled 10/30/2009 State Street Bank Accused of Fraud by California Accusing the company of cheating the state’s two largest pension funds of at least $56.6 million 10/28/2009 Judge orders assets frozen of alleged $59 million Ponzi scheme 5 Investigated: Larry O. Bosh, D. Shawn Benson, Michael Smith, David Q. Poulsen, and Gale Robinson 10/25/2009 ICAP unit hit by Wells notice from the SEC The world’s largest interdealer broker, that it is considering filing securities fraud charges 10/23/2009 Beverly Hills investment advisor pleads guilty in Ponzi scam Michael McCready admits to swindling at least 25 clients out of $9 million. 10/15/2009 Judge approves Sunwest reorganization Canyon Creek, etc. UPDATE 10/05/2009 Investors Say Broker Sold Them a Ponzi Scam MEDCAP - Update 10/05/2009 COLORADO SECURITIES REGULATOR FILES CASE AGAINST STIFEL, NICOLAUS & CO False Representation of Auction Rate Securities 10/01/2009 William David Brusseau, Registered Rep of Pasadena, CA Barred 09/30/2009 Paul Scott Collier, Registered Principal of Palm Springs, CA Fined and Suspended 09/30/2009 Stephen Timothy Crawford, Registered Rep of Vista, CA Fined and Suspended 09/30/2009 Steven Dale Fowler, Registered Rep of Parker, CO Barred 09/30/2009 Ronald Dwayne James, Registered Rep of Carlsbad, CA Barred 09/30/2009 Jacob Karamian, Registered Rep of Glendale, CA Barred 09/30/2009 Derek Roy Kent, Registered Rep of Franktown, CO Barred 09/30/2009 Filiep Paul Sackx, Registered Rep of Scotts Valley, CA Fined and Suspended 09/30/2009 Kenneth Scott Rubin, Registered Rep of San Diego, CA Barred 09/30/2009 Todd R. Smith, Registered Rep of Scottsdale, AZ Fined and Suspended 09/30/2009 Joaquinito See Soliman, Registered Principal of Chino Hills, CA Fined and Suspended 09/30/2009 Anthony Mark Villa, Registered Rep of Fontana,CA Fined and Suspended 09/30/2009 Steven Boyle Yamashiro, Registered Principal of Pasadena, CA Barred 09/30/2009 Colorado Division of Securities says Firm deceived investors, new filing alleges Philip Rand Lochmiller and his son Philip R. Lochmiller of Valley Investments 09/27/2009 COMPANY PLEADS GUILTY TO WIRE FRAUD AND TAX EVASION Gregory Dixon admitted to his involvement in Financia Investing Inc., 09/22/2009 Okoboji Financial Services, Inc. Censured and Fined 08/31/2009 Jan Lynn Brueggemann, Registered Rep of Irvine, California Barred 08/31/2009 Steven Laurence Dorsey, Registered Principal of South San Francisco, California Fined and suspended 08/31/2009 John Vincent Gordy, Registered Rep of Santa Monica, California Fined and suspended 08/31/2009 Reginald Perez Mason, Registered Principal of Long Beach, California Fined and suspended 08/31/2009 Frank Casillas Molina, Registered Representative of Tucson, Arizona Barred 08/31/2009 Kathleen Ann Shave, Registered Principal of San Diego California Barred 08/31/2009 James Richard Thomas, Registered Principal of Las Vegas, Nevada Barred 08/31/2009 Midas Securities, LLC of Anaheim, California along with Registered Principals World Trade Financial of San Diego, California along with Registered Principals 08/31/2009 Beverly Hills Fund Manager Admits to Operating Ponzi Scheme Bradley Ruderman 08/24/2009 Medical Capital Losses lead to Investor Arbitratin claims and lawsuits SEC has filed fraud charges 08/24/2009 Feds Bust Alleged Ponzi Scam in San Diego Mohit Khanna and his company MAK 1 Enterprises 08/18/2009 Provident Royalties, LLC UPDATE Bar Date for Claims & Next Creditor Meeting 08/05/2009 DBSI Update Swenson ordered to answer Receiver under oath! 08/04/2009 Andrew William Quinn Registered Supervisor of Redlands, California 07/31/2009 William Edward Wainess Registered Representative of La Jolla, California 07/31/2009 Michael Lee Bullock Registered Principal of Westlake Village, California 07/31/2009 Valley venture accused of fraud Radical Bunny tied to Mortgages Ltd. misled investors, SEC says 07/29/2009 Regulators Charge Investment Funds With Securities Fraud Diversity Capital Investments, Strong Capital Investments, based in Chula Vista; and the Optimus Fund, based in San Diego 07/29/2009 Pair accused of running $9 million ponzi scheme Michael Marshall & Gregory Russell 07/23/2009 Central Coast businessman arrested on charges of securities fraud, grand theft Michael Wilson 07/10/2009 Ameriprise Financial Services will pay $17.3 million SEC says sold more than $100 million of unregistered shares of one particular REIT 07/10/2009 Provident Royalities Creditor Meeting dates Dates, place and time 07/08/2009 3 Dallas businessmen accused of running $485 million Ponzi scheme Paul R. Melbye, Brendan Coughlin and Henry Harrison of Provident 07/07/2009 SEC pursues a possible Sunwest settlement Money MIGHT go to effort to restructure company and to repay investors 07/06/2009 FEDERAL COURT GRANTS SUMMARY JUDGMENT Pacific Wealth Management, LLC and others 07/06/2009 Marquis Financial Services, Inc. of Encino, California The firm was censured and fined $13,500. 06/29/2009 Bruce Robert Byers of Pasadena, California Barred 06/29/2009 Randy Brian Weaver of San Diego, California Suspended 06/29/2009 Steven Craig Keifner of Ventura, California Named as a Respondent 06/29/2009 FINRA Fines Fifth Third Securities $1.75 Million for 250 Unsuitable Variable Annuities Transactions 06/29/2009 FINRA Fines Centaurus Financial of Orange county, California $175,000 for Failure to Protect Confidential Customer Information 06/29/2009 $14M Ponzi Scam Collapses, SEC Says Moises Pacheco of Advanced Money Management and Business Development & Consulting 06/26/2009 Four hundred Hurst Financial investors sue over alleged Ponzi scheme Cuesta Title and Heritage Oaks Bank are accused of helping lender in Ponzi scheme 06/17/2009 State probes adviser, alleges Ponzi scheme Mark J. Jackson of Englewood, CO 06/09/2009 SEC Charges Investment Advisor & Principal w/Fraud & Breach of Fiduciary Duty Jacques R. Gendreau & Gendreau & Associates in Monarch Beach 05/26/2009 WealthWise, LLC and Jeffrey A Forrest Final Ruling 05/22/2009 FBI Investigates Alleged Fresno–Based Ponzi Scheme H.L. Leasing and John Otto 05/15/2009 SEC proposes tougher investment adviser rules Surprise exams and third party internal controls review 05/14/2009 Brokers Could Face New Penalties in Future for Misleading Clients Broker could face jail time for allegedly making false statements. 05/12/2009 AREI investors struggle with losses in alleged $250M Ponzi scheme Asset Real Estate and Investment Co., & Gary T. Armitage 05/09/2009 Four Convicted In Tax-Shelter Fraud Trial Current and former Ernst & Young partners - Shapiro, Vaughn, Coplan & Nissenbaum 05/08/2009 VesCor Receiver Sues More Attys Over Ponzi Profits UPDATE 05/05/2009 SoCal fund manager has assets frozen in fraud case Bradley L. Ruderman & Ruderman Capital Management 04/30/2009 SEC sues L.A. broker for fraud David A. Williams directed registered representatives of Morgan Peabody Inc. 04/21/2009 Marin investors fear money lost in alleged Ponzi scheme Gary Armitage, and his company, AGA Financial 04/19/2009 Top Fountain Hills developer files for Chapter 7 George Kasnoff, owner of Kasnoff Investments 04/11/2009 SEC Charges Colorado Adviser With Running Ponzi Scheme Shawn R. Merriman of Aurora, Colo 04/08/2009 Centurion Asset, Management Inc., Advanced Trading Services Inc. Dennis Bolze, a trader from Gatlinburg, Tenn 04/07/2009 SEC Sues Arizona Accountant Over $67 Million Fraud Dan Wise, a certified public accountant from Scottsdale 04/06/2009 IRS offers guidelines for Ponzi scheme victims Some tax relief for victims 03/18/2009 California Investment Firm Is $40 Million Ponzi Scam, SEC Says Equity Investment Management and Trading Inc. 03/11/2009 Current | 2010 | 2009

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