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Category: securities fraud

Nov 22, 2018 - Annuities by |

California and Alameda County Annuity Fraud and Financial Elder Abuse Attorney: Annuity Fraud on Seniors

ATTORNEY NEWSLETTER Annuity Scams Targeted At Seniors Annuity Fraud On average, a senior victimized by financial elder abuse loses over $140,000. That level of monetary loss is devastating.  Unscrupulous insurance agents are among the financial predators on seniors, selling them unsuitable annuities and life insurance that line agents’ pockets with […]

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San Francisco and California Elder Abuse and Securities Attorney: Stockbroker Fraud and Financial Elder Abuse

ATTORNEY NEWSLETTER Stockbroker Fraud If you have suffered damages as a result of fraud, unsuitable or negligent investment advice, the sale of defective or inappropriate investments, self-dealing, theft, or other wrongful conduct, you may have a claim against your stockbroker or investment professional and their firm. If you are a […]

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Jun 24, 2018 - Evans Law Firm by |

California and San Francisco Whistleblower and Securities Fraud Attorney: Fraudulent Failures to Disclose

ATTORNEY NEWSLETTER Failure to Disclose as Securities Fraud Recently the Securities and Exchange Commission (SEC) reached a $35 million settlement with Altaba Inc. for alleged securities fraud[1].  For those of you that don’t know, Altaba is the old Yahoo!. Previously, the SEC charged the company with failure to investors of […]

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May 8, 2018 - Evans Law Firm by |

California Whistleblower and Securities Attorneys: Commodity Futures Trading Commission Whistleblower Program

ATTORNEY NEWSLETTER Commodity Futures Trading Commission Whistleblower Program Futures and derivatives trading played a major part in this country’s financial crisis of 2008. Some of that trading was based on misrepresentations and fraud.  The Commodity Futures Trading Commission (CFTC) oversees futures, options, currency and derivatives trading in the United States […]

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San Diego, San Francisco and California Securities Fraud Attorney: Securities Fraud and Financial Elder Abuse

ATTORNEY NEWSLETTER Illegal Churning of Accounts Securities Fraud and Financial Elder Abuse A recent Southern California case of stockbroker churning reveals the seriousness of allegations of broker misconduct, especially when the misconduct targets seniors. Churning means excessive trading by a broker in a client’s account largely to generate commissions. Stock […]

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Jun 29, 2017 - Bay Area by |

Alameda County and California Securities Fraud, FINRA Arbitration and Financial Elder Abuse Attorneys: FINRA Enforcement and Awards

ATTORNEY NEWSLETTER FINRA Cracking Down on Bad Brokers Cracking Down on Exploitation The financial industry continues housecleaning with a tough new approach toward brokers with a record of customer disputes. The financial industry largely polices itself through the Financial Industry Regulatory Authority (FINRA). Last week, FINRA announced plans to crack […]

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May 3, 2017 - Bay Area by |

San Francisco County Securities and Exchange Commission Fraud and FINRA Arbitration Attorney: Securities Fraud

ATTORNEY NEWSLETTER FINRA Arbitration Shuts Down Broker Material Misrepresentations Oftentimes, individuals who invest their money also invest their trust. When they hand over their money, they assume that their broker or financial advisor is going to make decisions that will benefit the investor: personally, financially, and beyond. But what happens […]

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