Robert Hockensmith of Glendale, Arizona CPA, CFP, CSA issued a Cease and Desist Order 10/27/2008 Morgan Peabody, Inc. (Sherman Oaks, California) Firm Censured for their Senior Seminars 10/27/2008 Daniel Christopher Browne Registered Principal of Carpinteria, California 10/27/2008 Earl Robb Eastman & Robert Aaron Fink of Rancho Santa Fe & LaJolla, California 10/27/2008 Tara Moree Lewis Registered Principal of Scottsdale, Arizona 10/27/2008 Jerrold Robin Sexton Registered Representative of Escondido, California 10/27/2008 John Suk Registered Representative of LaMirada, California 10/27/2008 Curtis D. Somoza and Robert A. Coberly Man faces 285 years in prison for Ponzi scheme 10/24/2008 Securities Act of 2008, HR 6513 House passed - now headed to the Senate 10/07/2008 Losses could grow in alleged Ponzi scheme by Michael Derrick Peninger More investors likely to come forward 10/06/2008 Kederio Ainsworth (of Ainsworth Mtg), Guillermo Haro, Jesus Gutierrez, Gabriel Paredes, and Angel Romo (of World Group Securities) Commission Charges Five Registered Representatives with Fraudulent Sales of Unsuitable Securities 10/03/2008 Midas Securities LLC of Anaheim, CA Benjamin Centeno and Jeffrey Santohigashi 10/03/2008 Apex Equity Options & Thompson Consulting, Inc. SLO investment advisor charged with fraud 10/02/2008 In the Matter of Argyle Ventures, Inc. Registrations Revoked 10/01/2008 In the Matter of Rudy 45 of Santa Monica, California FINRA Division of Enforcement 09/30/2008 In the Matter of S3 Investment Company, Inc. FINRA Division of Enforcement 09/30/2008 In the Matter of Starinvest Group, Inc. FINRA Division of Enforcement 09/30/2008 WealthWise Principal Charged With Fraud Jeffrey A. Forrest 09/25/2008 Investors, many of them seniors, suing SR financial Life savings lost to fraud? 09/23/2008 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 County Attorney's Office taken off fraud case James J. Buchanan 09/19/2008 State funds are at risk in Lehman bankruptcy Attorney General Terry Goddard of Arizona 09/17/2008 SEC Charges Bogus Pipe Promoters in $52 Million Ponzi Scheme James Halstead and attorney Jeanne Rowzee 09/15/2008 Edward Jones pays up in mutual fund case What 09/11/2008 Cedar Funding - Update Dates to know if you are an investor 09/10/2008 Daryl Batts - Easley investment manager Update 09/10/2008 Enron shareholders to share settlement billions The largest ever in a securities fraud case 09/09/2008 Manuel Raul Montanez Registered Representative of Duarte, California 09/05/2008 Kenneth Rik Osmer Registered Representative of Villa Park, California 09/04/2008 James Byongmin Yim Registered Representative of Sparks, Nevada 09/04/2008 Jimmie Lee Griffith Registered Representative of Richmond, California 09/01/2008 Two Wextrust Capital Owners Are Arrested Shereshevsky and Byers 09/01/2008 Morris Clyde Kuykendall Lake Havasu City Man Indicted for Securities Fraud 08/18/2008 MKA Capital Group Advisors LLC Couple sues firm for alleged Ponzi scheme - Investment-management firm used new investors 08/06/2008 Bankruptcy judge OKs Syntax-Brillian review Viable claims to recover assets on behalf of the estate 08/06/2008 Fixed Income Securities, LP nka Advisors Asset Management, Inc. of Monument, Colorado 08/01/2008 Michael Harold McClellan Registered Principal of Bakersfield, California 08/01/2008 Merrill Lynch denies fraud charge over bond sales (Auction Rate Securities) Billions of dollars are now frozen 08/01/2008 AIS Financial, Inc. of Irvine, California 08/01/2008 Crowell,Weedon & Co. of Los Angeles, California 08/01/2008 James B. Duncan, Hendrix Montecastro and Maurice E. McLeod - Trial date set Pacific Wealth Management, Stonewood Consulting Inc. and Total Return Fund 07/28/2008 Wesley A. Snyder Former mortgage broker appeals prison sentence 07/25/2008 R. Todd Neilson and Cedar Funding Trustee wants storage locker for records 07/25/2008 UBS faces fraud charges in auction-rate securities collapse New York files a civil lawsuit Thursday against UBS 07/24/2008 National Task Force Investigates Auction Rate Securities Meltdown Missouri Secretary of State Robin Carnahan 07/17/2008 UBS Auction Rate Securities UBS to Buy Back Up to $3.5 Billion of Frozen Shares 07/15/2008 New Arizona law for the Mortgage Industry Arizona law imposes regulations on loan officers 07/14/2008 $33 million Ponzi scheme halted Powder River Petroleum International Inc. of Tulsa, OK ordered to stop selling oil and gas assets. 07/14/2008 George Hudgins Financial details emerge in fraud case; investors named in new documents 07/08/2008 VMT Scientific Inc. of SEC charges stockbroker Stephen H. Roebuck and Daniel Kaiser, chief technology officer with fraud. 07/05/2008 Gregory Thomas Murray Of Scottsdale, Arizona Barred 06/30/2008 Steven Wood Registered Supervisor, of Encino, CA, Barred 06/25/2008 Jefferies & Company, Inc of Los Angeles, CA Fined $500,000, required to pay $450,511.66, plus interest 06/20/2008 Andrew William Baum Sanctioned and Barred 06/20/2008 Peter Dawson Financial adviser gets 5 to 15 years for ripping off clients 06/17/2008 Raymond L. Leonard Jr. of Rancho Santa Margarita, CA SEC alleges 1,300 ripped off in oil, gas fraud 06/13/2008 Feds accuse 2 Orange County investment firms of $21M fraud Lincoln Funds International Inc. and Paropes Corp., previously known as Brookstone Capital 06/11/2008 Eric William Kooy Former registered representative of Litchfield Park, Arizona 06/11/2008 NJ Affordable Homes - UPDATE FBI arrests NJ Affordable Homes owner 06/10/2008 James J. Buchanan Ex-LPL adviser charged with fraud, theft 05/30/2008 Life Partners Inc. and Life Partners Judge stops Life Partners from selling securities in Colorado 05/30/2008 Regulators freeze Longwood brokerage's assets The SEC has filed suit in Orlando against North American Clearing of Longwood. 05/29/2008 Alleged foreclosure scam busted San Diego firm is accused of bilking hundreds with the lure of saving their homes. 05/23/2008 Final Judgment Setting Disgorgement and a Civil Penalty Against Defendant Patrick Kirkland Disgorgment and civil money penalties 05/22/2008 William Wright, TRF Holdings Convicted Felon Indicted in $4 Million Investment Scheme 05/19/2008 Gregory McKnight and Legisi Holdings LLC SEC awarded an order in favor of seizure of all assets 05/08/2008 Forrester Financial Group in Phoenix Former Securities Broker Pleads Guilty to Securities Fraud and Theft of Over $2 Million 05/08/2008 Walter J. Becker Registered Principal of Fresno, California 04/30/2008 Dana Dewitt Toney Registered Representative of Las Vegas, Nevada 04/30/2008 Vincent Michael Uberti Registered Principal of Fountain Valley, California 04/30/2008 Mission Securities Corporation Craig Michael Biddick, a Registered Principal of Rancho Santa Fe, California 04/30/2008 Robert Joseph Alaniz Individual Suspended 04/28/2008 Florence Sarah Pollard REVOKED 04/23/2008 Brookstreet Securities Corporation Firm SUSPENDED! 04/21/2008 Malvinder Sonny Matharu Registered Supervisor, of Redondo Beach, CA, Suspended 04/21/2008 Westland Securities, LLC SUSPENDED 04/10/2008 Michael Dawes of Emmett A. Larkin Company, Inc. Arizona Corp Commission issues a Consent to Entry of Order to Dawes 04/08/2008 W Financial Group, LLC of Houston, Texas SEC charges Houston Company with sales of fraudulent securities to mostly Elderly Investors 04/03/2008 Final Judgments against Defendants Jeffrey B. Schmidt and Gary L. Gelnette Disgorgment PLUS Interest 04/02/2008 Berry-Shino Securities, Inc. The firm was censured and fined $157,085.97, which includes disgorgement of $7,085.97 in compensation 03/31/2008 AZ Corporation Commission Approves Morgan Stanley Settlement Settlement of Nearly $775,000 for Unregistered Investment Sales 03/27/2008 Donna Marie Shurot Additional Update - Revocation of license 03/27/2008 Trend Capital and its subsidiaries, Trend Management Charged with securities fraud by the Arizona Corporation Commission 03/27/2008 SEC v. Tuco Trading, L.L.C. and Douglas G. Frederick SEC obtained an emergency court order against an unregistered securities day-trading firm in La Jolla, CA 03/18/2008

For a FREE Consultation call: 760-451-2300

Copyright © 2008 Richard A. Nervig, P.C. All Rights Reserved

1588 South Mission Road Suite 210 Fallbrook, CA 92028

The legal information provided at this site is general, and not specific. The reader should never assume that this information applies to his or her specific situation without consulting competent counsel in his or her state.