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Dec 12, 2017 - Evans Law Firm by |

California Whistleblower and Securities Fraud Attorney: Securities and Exchange Commission Whistleblower Office

ATTORNEY NEWSLETTER U.S. Securities and Exchange Commission Tips for Whistleblowers What the Securities Regulators Look For The Securities and Exchange Commission (SEC) needs your help in tracking down securities fraud. Whistleblowers bring useful information to the SEC that can lead to investigation and prosecution –  and a possible reward for […]

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Nov 29, 2017 - Annuities by |

Santa Clara County and California Financial Elder Abuse and Annuity Attorneys: FINRA Enforcement

ATTORNEY NEWSLETTER FINRA Cracking Down on Faulty Annuity Replacements Cracking Down on Exploitation The Financial Industry Regulatory Authority (FINRA) is looking closely at brokers who churn their clients’ variable annuities. Recently, FINRA announced disciplinary measures against two brokers who churned client annuities.  The churns (or replacements) resulted in heavy surrender […]

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