Current | 2009 | 2008 Butler Muni, LLC of San Ramon, CA Censured and fined 08/02/2010 First Allied Securities, Inc. fka FFP Securities, Inc. of San Diego, CA Censured and fined 08/02/2010 Greenberg Financial Group of Tucson, AZ Censured and fined 08/02/2010 Wedbush Securities, Inc. of Los Angeles, CA Censured and fined 08/02/2010 Blaine Carter Davis, Registered Rep of Draper, UT Barred 08/02/2010 Douglas Kyle Haas, Registered Rep of Queen Creek, AZ Fined and Suspended 08/02/2010 Arthur Albert Halleen, Registered Rep of Pottsboro, TX Barred 08/02/2010 Stephen A. Hancock, Registered Rep of San Francisco,CA Barred 08/02/2010 Steve G. Kelly, Registered Rep of Tucson, AZ Barred 08/02/2010 William Blaze Krusheski, Registered Principal of Carlsbad, CA Barred 08/02/2010 David Laifer, Registered Rep of Gold Canyon, AZ Fined and Suspended 08/02/2010 Jeffrey Scott Mayer, Registered Principal of Fresno CA Fined and Suspended 08/02/2010 Michael Alcide Poutre II, Registered Principal of Woodland Hills, CA Fined and Suspended 08/02/2010 Ryan Nicholas Shubin, Registered Rep of Laguna Niguel, CA Fined and Suspended 08/02/2010 Noble Bradford Trenham, Registered Principal of Pasadena, CA Barred 08/02/2010 Seyed Ahmad Hashemian, Registered Rep of Irvine, CA Censured and fined 08/02/2010 Stephen White Wilson, Registered Rep of Thousand Oaks, CA Barred 08/02/2010 Financial planner faces lawsuits Ian Filippini and Filippini financial Group 07/05/2010 Heffelfinger pleads guilty to $1.7 million Ponzi scheme Commissioner deciding if Broker-Dealer should be charged also 07/02/2010 SEC Sues Utah Man For $145 Million Real Estate Investing Fraud Travis Wright and his Waterford Funds 07/02/2010 FINRA Orders Westpark Capital to Pay $400,000 for Failing to Supervise Brokers with Histories of Disciplinary Actions Chief Operations Officer, Former Chief Compliance Officer Also Named; Former Brokers Barred, Former Branch Manager Disciplined in Separate Actions 06/30/2010 Plan Member Securities Corporation of Carpinteria, CA Censured and fined 06/30/2010 GVC Capital LLC fka Bathgate Capital Partners LLC of Greenwood Village, CO Censured,fined and ordered to pay resitution 06/30/2010 EDI Financial, Inc. of Dallas, TX Censured and fined 06/30/2010 John Roy Boyer, Registered Rep of Missoula, MT Fined and Suspended 06/30/2010 Donald Edwin Derieg, Registered Rep of Encino, CA Barred 06/30/2010 Danial de Sade, Registered Rep of Peoria, AZ Barred 06/30/2010 Michael Phillip Dunham Registered Principal of Nichols Hills, OK Fined and Suspended 06/30/2010 Robert Franklin Hockensmith Jr., Registered Rep of Glendale, AZ Barred 06/30/2010 David Michael Logsdon, Registered Rep of Hailey, ID Fined and Suspended 06/30/2010 James Carter McKelvain, Registered Rep of Burleson, TX Fined and Suspended 06/30/2010 Colleen Marie McMahon-Hill, Registered Rep of Surprise, AZ Barred 06/30/2010 Casey Joseph OConnell, Registered Principal of Sparks, NV Fined and Suspended 06/30/2010 Carl A. Page, Registered Rep of Bountiful, UT Fined and Suspended 06/30/2010 Jay Sheldon Potter Jr. , Registered Principal of San Diego, CA Fined and Suspended 06/30/2010 Ronald Douglas Rogers, Registered Rep of Fairbank, IA Fined and Suspended 06/30/2010 Carlos Suazo, Registered Rep of Marina Del Rey, CA Barred 06/30/2010 Tiffany Leigh Zachary, Registered Rep of The Woodlands, TX Fined and Suspended 06/30/2010 Financial Advisor Charged With Fraud, Breaching Fiduciary Duty Jeffrey S. Preston and his firm Life Wealth Management Inc. in Valencia, CA 06/29/2010 Bestselling author loses nearly everything in Apple Valley man's Ponzi scheme Trevor Cook of Apple Valley 06/28/2010 Investigation into alleged $100M Ponzi scheme Lawrence Leland "Lee" Loomis 06/28/2010 Ponzi suspects from Tiburon could have assets frozen Glenn Kane Jackson and Gina Michelle McGee 06/22/2010 Judge freezes assets of O.C. company accused in $53-million Ponzi scheme Matthew Jennings and Westmoore Management LLC and Westmoore Investment LP 06/17/2010 SEC files complaint against GR broker Martin Wegener accused of taking $6.5 million 06/17/2010 Armitage will face trial over $200 million alleged fraud Armitage, Koenig & Asset Real Estate & Investment Update 06/02/2010 Mission Securities Corporation of San Diego, CA Barred Craig Michael Biddick, Registered Principal of Rancho Santa Fe, CA Barred 05/31/2010 Roth Capital Partners, LLC of Newport Beach, CA Censured and fined 05/31/2010 Wedbush Morgan Securities Inc. of Los Angeles, CA Censured and fined 05/31/2010 Martin David Batstone, Registered Rep of San Diego, CA Fined and Suspended 05/31/2010 Roslyn E. Bixby, Registered Rep of Seal Beach, CA Fined and Suspended 05/31/2010 David Bigelow Crocker, Registered Rep of Santa Fe, NM Censured, fined and disgorgement 05/31/2010 Jason Allen Groth, Registered Rep of San Diego, CA Fined and Suspended 05/31/2010 Reed Theodore Johnson, Registered Principal of San Diego, CA Fined and Suspended 05/31/2010 Gerald Jamieson Kesner, Registered Rep of Lakewood, CO Barred 05/31/2010 Harold Sheldon Minsky, Registered Rep of Northridge, CA Fined and Suspended 05/31/2010 Jerome Joseph Stellick, Registered Rep of Bonney Lake, WA Barred 05/31/2010 Dallas-based Provident Asset Management Expelled for Marketing Fraudulent Private Placements FINRA Continues Nationwide Initiative Investigating Broker-Dealers Engaged in Private Placements 05/31/2010 2 Northern Colorado men accused of running $3.5 million Ponzi scheme Richard Novaria, of Greeley, Jeremy Hart, of Fort Collins, CO & Dreamweaver Foundation Inc 05/28/2010 Two Securities Broker-Dealers Indicted for Securities Fraud Scheme in Texas Blake Williams, of Dallas, TX, Derek Lopez, of Torrance, CA & TBeck Capital Inc 05/27/2010 Important IRS Guidance for TIC Investors DBSI update 05/18/2010 Two Headed to Prison in O.C. Ponzi Update James Halstead of Tustin & Irvine attorney Jeanne Rowzee 05/17/2010 Man Charged In $2M Ponzi Scheme Scott Pionk Charged With 9 Felonies 05/11/2010 New Braunfels firm accused of securities fraud has assets frozen Retirement Value LLC & President Richard "Dick" Gray and Chief Operating Officer Bruce Collins 05/06/2010 American Mortgage files Chapter 11 The mortgage REITshares are down 98% in last year 05/01/2010 Robert Paul Aamodt, Registered Principal of Layton, Utah Fined and Suspended 04/30/2010 Heriberto Americo Artiga Sr., Registered Rep of Sylmar, CA Barred 04/30/2010 Horus River Brown, Registered Rep of La Jolla, CA Barred 04/30/2010 Leonard Charles Brown, Registered Supervisor of Phoenix, AZ Barred 04/30/2010 Aleksandr Yurievich Denisov, Registered Principal of Marina Del Rey, CA Fined and Suspended 04/30/2010 Kevin Lorenzo Gillespie, Registered Principal of Santa Ana, CA Suspended 04/30/2010 Michael Anthony Gist, Registered Rep of Highlands Ranch, CO Fined and Suspended 04/30/2010 Ruthe Pessin Gomez, Registered Principal of Fremont, CA Barred 04/30/2010 William Frederick Nord, Registered Rep of Costa Mesa, CA Fined and Suspended 04/30/2010 Douglas Richard Smith, Registered Principal of Newbury Park, CA Fined and Suspended 04/30/2010 Jennifer Birrell Young, Registered Rep of Parker, CO Barred 04/30/2010 FINRA Fines H&R Block Financial Advisors for Inadequate Supervision of Reverse Convertible Notes Sales $200,000 for failing to establish adequate supervisory systems and procedures for supervising sales of RCNs to retail customers 04/30/2010 Richard Alan Mechikoff Jr., Registered Rep of Fresno,CA Fined and Suspended 04/30/2010 Gary Ben Miner, Registered Rep of Boise, Idaho Fined and Suspended 04/30/2010 Scott Daniel Hendrickson, Associated Person of Yorba Linda, CA Fined and Suspended 04/30/2010 David Mark Jackson, Registered Rep of San Clemente, CA Fined and Suspended 04/30/2010 Grand jury indicts Dharma Investment Group's owners on multiple counts of securities fraud Bela A. Geczy, Michael B. Kass & Dharma Investment Group 04/21/2010 SEC Charges Four With $8 Million Fraudulent Unregistered Offering Connected To Arizona Real Estate Steven R. Long, Stanley M. Paulic, Integrity Financial AZ, LLC, Walter W. Knitter and Robert C. Koeller 04/16/2010 SEC freezes the assets of Richard H. Nickles and his Santa Ana companies Innovative Advisory Services Inc., Innovative Advisory Services and Island Trader 04/15/2010 Vallejo man pleads guilty in Ponzi scheme Robert Brown Jr., and Duane Eddings & Trebor Company 04/07/2010 3 defendants in Ponzi scheme reject plea bargains Gary T. Armitage, Joes S. Koenig and Jeffrey A. Guidi 04/07/2010 Kirkland securities broker expected to plead guilty, prosecutors say Rhonda Breard Update 04/04/2010 Class Claims Ameriprise Presided Over Ponzi Securities America due diligence advisers advised risk with MedCap!!! 03/22/2010 Six broker-dealers subpoenaed over private placements - MedCap & Provident Mass. securities regulator looking for more info from independent firms 03/22/2010 Finra shuts down GunnAllen GunnAllen founders jumping to rival broker-dealer in wake of firm’s collapse 03/22/2010 Regulator bars Provident from selling securities Provident Asset Management LLC labeled a "massive Ponzi scheme" 03/18/2010 64 Hawaii residents victimized in $10M Ponzi scheme; Florida man arrested Patrick H. Rakotonanahary & Cyber Market Group, LLC 03/18/2010 Felon Ran $200 Million Ponzi, Victims Say AREI & James Koenig Update 03/16/2010 Kevin Joseph Sylla, Registered Principal of Beverly Hills, CA Fined and Suspended 03/15/2010 Craig Michael Taggart, Registered Rep of Mission Viejo, CA Fined and Suspended 03/15/2010 George Albert Montes, Registered Principal of Walnut Creek, CA Fined and Suspended 03/15/2010 Melvin Lee Peterson, Registered Principal of Pacifica, CA Fined and Suspended 03/15/2010 Steven William Sauer, Registered Rep of Dublin, CA Barred 03/15/2010 Dennis Dale Bailey,Registered Rep of Highlands Ranch, CO Suspended 03/15/2010 Gary Thomas Armitage, Registered Principal of Healdsburg, CA Update - Barred 03/15/2010 Chi Tu Chow, Registered Rep of Boulder, CO Fined and Suspended 03/15/2010 Francisco P. Esparza, Registered Rep of Tustin Ranch, CA Fined and Suspended 03/15/2010 Juan Gustavo Espinoza, Registered Rep of Novato, CA Fined and Suspended 03/15/2010 James William Geis, Registered Rep of Mission Viejo, CA Barred 03/15/2010 Jeffrey Alan Gielau, Registered Rep of Anaheim Hills, CA Fined and Suspended 03/15/2010 Rani Tarek Jarkas, Registered Principal of San Francisco, CA Fined and Suspended 03/15/2010 Bornhoft Group Securities Corporation, of Denver, CO Censured and Fined 03/15/2010 Man accused of masterminding mortgage fraud is denied bail reduction Pacific Wealth Management, Stonewood Consulting and Total Return Fund Update 03/11/2010 TV tax man pleads guilty to $13.5 Million Ponzi scheme William Murray of Sacramento, CA 03/09/2010 Renton couple's suit claims Kirkland broker cost them life savings Bread & Associates Wealth Management Update 03/09/2010 Federal Court Orders California Man to Pay More than $20.3 Million in CFTC Commodity Options Fraud Action David Michael Kogan and His Company, First Capitol Futures Group 03/09/2010 Kirkland securities broker, target of probe, tries to sell jewelry Rhonda Breard, under investigation for securities fraud, attempted to sell a large amount of jewelry, leaving attorneys for her alleged victims worried about recovering money for their clients 03/08/2010 Local Broker To Pay $1.95M To Settle Fraud Case First Allied Securities Inc. failed to reasonably supervise its former broker, Harold J. Jaschke 03/08/2010 Popular Eastside broker Rhonda Breard under investigation for fraud State Officials are urging previous customer to contact them 03/01/2010 Former Medical Manager execs guilty of fraud John Kang of Trabuco Canyon, CA & John Sessions, of Myrtle Beach, SC 03/01/2010 FINRA Fines Pacific Cornerstone Capital, CEO $750,000 for Private Placement Chief executive officer, Terry Roussel, suspended 02/28/2010 James Jonathon Fraser Buchanan,Registered Rep of Phoenix,AZ Barred 02/28/2010 John Bradley Carter, Registered Principal of Aurora, CO Barred 02/28/2010 Donald Raymond Dunakin III, Registered Rep of El Dorado, CA Barred 02/28/2010 Jeffrey Allan Forrest, Registered Principal of San Louis Obispo, CA Barred 02/28/2010 Sally Jean Gray, Registered Rep of Bellevue,WA Barred 02/28/2010 Robin Emily Katz, Registered Rep of Portland, OR Barred 02/28/2010 Brett Sterling Kleese, Registered Principal of Mesa, AZ Barred 02/28/2010 Jeannette J. Martens, Registered Rep of San Juan Capistrano,CA Fined and Suspended 02/28/2010 David Roger Miller, Registered Rep of Edmonds,WA Barred 02/28/2010 Gerald David Morales, Registered Rep of Seattle,WA Fined and Suspended 02/28/2010 Gary Nelson, Registered Rep of Las Vegas, NV Suspended 02/28/2010 Ramon Oller, Registered Rep of Laguna Niguel, CA Suspended and Fined 02/28/2010 Max Jack Safdie, Registered Principal of Mill Valley, CA Suspended 02/28/2010 Grant Thomas Weiss, Registered Rep of Penn Valley, CA Fined and Suspended 02/28/2010 Firms Suspended for Failure to Supply Financial Information Pursuant to FINRA Rule 9552 Provident Update!! 02/28/2010 CFTC Imposes a $1 Million Penalty on California Resident for Commodity Pool Fraud Craig A. Riley and His Firm, Pressio Capital Management, LP 02/18/2010 Motion outlines millions sought in fraud case Mark DuBoise,of Corona, CA, and a company he formed called Midwestern and Ray L. Leonard Jr.,of Rancho Santa Margarita,CA 02/07/2010 Bank of America, Former Execs Face Civil Fraud Charges Kenneth Lewis and Joseph Price, the bank’s former chief executive and financial officer, respectively 02/06/2010 Randall Charles Barker, Registered Rep of Montrose, CO Barred 01/31/2010 Jeffery Michael Engler, Registered Rep of Marana, AZ Barred 01/31/2010 Douglas Milton Lounsbury, Registered Rep of Long Beach, CA Suspended and Fined 01/31/2010 James Whitfield Robison, Registered Rep of Clovis, CA Barred 01/31/2010 Ralph Matthew Shino, Registered Principal of Scottsdale, AZ Suspended 01/31/2010 Kale Edgar Evans, Registered Supervisor of San Diego, CA Barred 01/31/2010 Robert Lee Mandeville, Registered Rep of Newport Beach, CA Suspended and Fined 01/31/2010 David Laifer, Registered Rep of Gold Canyon, AZ Named in a FINRA Complaint alleging wrong doing 01/31/2010 Inland financial adviser accused of fraud ordered to stand trial Holly Gunnette 01/31/2010 Kalispell, Montana man charged with securities fraud Donald Chouinard 01/31/2010 Ponzi trial may stay in Grand Junction, CO Philip Rand Lochmiller of Valley Investments - UPDATE 01/27/2010 MEDCAP UPDATE!!! MA Regulators charge broker in $697m notes sale - State alleges clients not warned of risks 01/27/2010 Ponzi Scheme Victims Need to File Claim Daren Palmer ran $68 Million Scheme 01/26/2010 Financial planner’s commissions allegedly from illegal plan transfers Brian P. Troy of Keller, Texas Suspended until investigaiton complete 01/07/2010 S.C. broker-dealer guilty of fraud linked to Ponzi scheme Oren Eugene Sullivan admitted in court, from 1995 through 2008 he ran the Scam 01/06/2010 Lindsay Gregg Thomson, Registered Rep of Scottsdale,AZ Fined and Suspended 12/31/2009 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 Darren Eugene White of Manhattan Beach, 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 Lance Nathaniel Scida of Highlands Ranch, CO Named as a Respondent 06/02/2009 Debbie Michelle Saleh of Calabasas, CA Named as a Respondent 06/02/2009 Peggy Lyn Fry of Aurora, Colorado Barred 06/01/2009 Corbin Taylor Jones of Cave Creek, Arizona Barred 06/01/2009 Nathan James Lorne of Denver, CO Barred 06/01/2009 Robert Brian Meadows of Playa Del Rey, CA Fined and suspended 06/01/2009 Kale Edgar Evans of San Diego, CA Named as a Respondent 06/01/2009 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 Bill Q. Chen Registered Representative of Arcadia, California 05/01/2009 Gary Allen Hanson Registered Representative of Colorado Springs, Colorado 05/01/2009 Michael Julius Resnick Registered Principal of Phoenix, Arizona 05/01/2009 Ralph Matthew Shino Registered Principal of Scottsdale, Arizona 05/01/2009 Yuvraj Singh Registered Representative of Mountain View, California 05/01/2009 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 DBSI Update NOTICE OF BAR DATES FOR FILING OF PROOFS OF CLAIM 04/15/2009 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 SEC accuses Caribbean bank of $68 mln Ponzi scheme Millennium, United Trust targeted wealthy investors 03/26/2009 IRS offers guidelines for Ponzi scheme victims Some tax relief for victims 03/18/2009 State(s) seek more answers from DBSI Judge grants Order for Forensic accounting 03/17/2009 California Investment Firm Is $40 Million Ponzi Scam, SEC Says Equity Investment Management and Trading Inc. 03/11/2009 Stonehurst Securities, Inc. of Folsom, California 03/02/2009 Ward Byron Anderson, Registered Representative of Aurora, Colorado Barred 03/02/2009 Ching Yang Aul, Registered Representative of San Gabriel, California Barred 03/02/2009 Khaldoun Akram Hejazi, Registered Representative of Morrison, Colorado Barred 03/02/2009 Michael Frederick Siegel, Registered Representative of Beverly Hills, California Fined and suspended 03/02/2009 Nexcore Capital, Inc of San Diego, California 03/02/2009 SEC probes O.C. real estate lender Point Center Financial President Dan J. Harkey, husband of a California state assemblywoman investigated 02/25/2009 Colorado Man Sued By Regulator for $16.8 Million Ponzi Scheme William Walters, formerly of Lone Tree, Colorado 02/18/2009 Man from Fallbrook gets prison for $20 million scam Charles Castro and Edward U. Bevilacqua 02/16/2009 Financial adviser Robin Bruce McNabb nabbed in IRA account loan ripoff scam RKM Financial Group and RKM Properties update 02/02/2009 Malory Investments, LLC and Ronald Stein, Registered Principal of Los Angeles Fined and expelled 02/02/2009 Peacock, Hislop, Staley & Given, Inc. of Phoenix, Arizona Censured and Fined 02/02/2009 Western International Securities, Inc. of Pasadena, California Censured, fined and ordered to pay restitution to public customers 02/02/2009 Stanley James Allen Jr of Scottsdale, Arizona Fined and suspended 02/02/2009 Laird Quincy Cagan of Los Altos, California Fined and suspended 02/02/2009 Avidan Danny Fishman of Encino, California Fined and suspended 02/02/2009 James Jhun of Alta Loma, California Fined and suspended 02/02/2009 John Gilbert Marshall Jr. of Mill Valley, California Fined and suspended 02/02/2009 Ruben Mariano Silva of Santa Rosa, California Barred 02/02/2009 Jeffrey Michael Stebbins of Mesa, Arizona Barred 02/02/2009 Jeffrey Eugene Tipton of Fresno, California Barred 02/02/2009 Derek Michael Whitley of Sierra Vista, Arizona Barred 02/02/2009 Peter Edward Vallejo of Gilbert, Arizona Barred 02/02/2009 California charges six with $52 Million Ponzi scheme Lambert Vander Tuig, Jonathan Carman, Mark Sostak, Scott Yard, Soren Svendsen and Robert Waldman 01/28/2009 Arizona residents claim fraud on EquiTrust annuity Class Actions filed 01/23/2009 Idaho sues Boise real estate company - DBSI Alleging it defrauded investors out of $10million 01/16/2009 Two accused of bilking investors charged with fraud Richard Young and William Willard of Global One Group, LLC, Malee Enterprises, Inc., and Badie Inc. 01/06/2009 Marshall Jerold Field Registered Principal of Calabasas, California 12/31/2008 Alexandre Pereira Guimaraes Registered Representative of Irvine, California 12/31/2008 Jefferies & Company, Inc of Los Angeles, California 12/31/2008 Liberty Partners Financial Services, LLC of Bakersfield, California 12/31/2008 Salem Co. man cited in $1.3M Ponzi scam Jeffrey J. Southard with GunnAllen and Ameriprise 12/22/2008 DBSI Inc., a national real estate investment and management firm DBSI announces Chapter 11 bankruptcy filing in November 12/03/2008 Schwab Yield Plus, TD Ameritrade Reserve Yield Plus & Wells Fargo Auction Rate Securities Investment vehicles being watched closely by Wall Street 12/01/2008 Edward Durkin Helms Registered Representative of Roseville, California 11/28/2008 Hayden Holland A Scottsdale man nets 6.5 years in securities fraud 11/27/2008 Morgan Peabody, Inc. (Sherman Oaks, California) Firm Censured for their Senior Seminars 10/27/2008 Earl Robb Eastman & Robert Aaron Fink of Rancho Santa Fe & LaJolla, California 10/27/2008 Jerrold Robin Sexton Registered Representative of Escondido, California 10/27/2008 What to do if your broker fails? There is a system in place to protect your portfolio - at least a good chunk of it. 09/22/2008 Current | 2009 | 2008

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