The Frankowski Firm, Author at FrankowskiFirm Blog Posts

Former U.S. Army Financial Counselor Charged by SEC for Defrauding Gold Star Families

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The Securities and Exchange Commission (SEC) has taken decisive action against Caz L. Craffy, a former […]

by The Frankowski FirmLegal MattersAugust 30 2023 SEC Alleges Additional Frank Executive’s Fraud in $175 Million Sale of Student Loan Assistance Company

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The Securities and Exchange Commission (SEC) has taken legal action against Olivier Amar, former Chief Growth […]

by The Frankowski FirmLegal MattersAugust 28 2023 SEC Charges Merrill Lynch and Parent Company for Failure to Report Suspicious Activity

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The Securities and Exchange Commission (SEC) has brought charges against Merrill Lynch, Pierce, Fenner & Smith […]

by The Frankowski FirmLegal MattersAugust 28 2023 SEC Moves Swiftly to Stop North Carolina-Based Ponzi Scheme

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In an urgent response, the Securities and Exchange Commission (SEC) has taken decisive action to halt […]

by The Frankowski FirmLegal MattersAugust 22 2023 SEC Settles Charges Against RSE Markets Inc. for Running an Unregistered Securities Exchange

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The Securities and Exchange Commission (SEC) recently concluded its investigation and reached a settlement with RSE […]

by The Frankowski FirmLegal MattersAugust 21 2023 SEC Takes Action Against Former Florida Brokerage Representative for Defrauding Senior and Disabled Customers

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The Securities and Exchange Commission (SEC) has filed charges against Joseph Michael “Mike” Todd and his […]

by The Frankowski FirmLegal MattersAugust 19 2023 The Suitability of Volatility-Linked Investment Products for Most Investors

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Retirees and other retail investors should exercise caution when considering investments in volatility-linked products. The Cboe […]

by The Frankowski FirmLegal MattersAugust 11 2023 Investors File Negligence Lawsuits Against Oppenheimer

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David Wayne Krumrey, a former stockbroker registered with Oppenheimer Co. Inc. and based in The Woodlands, […]

by The Frankowski FirmLegal MattersAugust 10 2023 UBS Reaches Settlement with SEC Over Inappropriate VXX Investments

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UBS Financial Services Inc. (“UBS”) recently settled charges with the Securities and Exchange Commission (“SEC”) concerning […]

by The Frankowski FirmLegal MattersAugust 9 2023 Investor Losses Allegedly Linked to Oppenheimer Broker David

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by The Frankowski FirmLegal MattersAugust 8 2023