Lindsay GoMega, Author at FrankowskiFirm - Page 2 of 3 Blog Posts

Understanding Stockbroker Negligence and When to File a FINRA Claim

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Investing in the stock market inherently involves risks. However, when a stockbroker’s negligence results in significant […]

by Lindsay GoMegaNews & EducationApril 2 2025 Triad Advisors Faces $30 Million FINRA Complaint Over Alleged Supervisory Failures

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A significant legal battle is unfolding as more than 70 investors have filed a FINRA complaint […]

by Lindsay GoMegaBlogAugust 1 2024 Former B. Riley Wealth Management Investment Advisors Accused of Wrongdoing That Cost Investors Almost $4 Million.

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Former B. Riley Wealth Management Investment Advisors Accused of Wrongdoing That Cost Investors Almost $4 Million. […]

by Lindsay GoMegaLegal MattersMarch 12 2023 John Dennis Lowry: FINRA Disciplinary Action and Customer Complaints

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John Dennis Lowry (CRD# 4336146) is the owner and CEO of Spartan Capital Securities, LLC, a […]

by Lindsay GoMegaLegal MattersAugust 15 2022 GWG Holdings L Bond Losses: Recovery Options for Investors

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If you invested in GWG Holdings L Bonds and lost money, you are not alone. Thousands […]

by Lindsay GoMegaCurrent InvestigationMay 3 2022 INTERACTIVE BROKER CUSTOMERS SEE ACCOUNTS GO NEGATIVE DUE TO FALLING OIL PRICES

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Crude oil prices fell into negative territory this week for the first time in history. The […]

by Lindsay GoMegaNews & EducationApril 23 2020 CRAIG ARSENAULT BARRED FROM SECURITIES INDUSTRY BY SEC OVER $5.7 MILLION FRAUD

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The Securities and Exchange Commission has entered an Order permanently barring Atlas Capital Management adviser Craig […]

by Lindsay GoMegaLegal MattersMarch 15 2019 MERRILL LYNCH FINED $6 MILLION FOR SELLING IPOs TO INDUSTRY INSIDERS

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The Financial Industry Regulatory Authority (“FINRA”) has sanctioned Merrill Lynch $6 million for selling shares in […]

by Lindsay GoMegaLegal MattersDecember 27 2018 If I Lose Money, Can I Sue My Stockbroker or Financial Advisor?

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When you invest your hard-earned money, you probably do so because you want to protect yourself […]

by Lindsay GoMegaFINRA, FraudApril 19 2017 Craig Scott Capital Subject Of FINRA Complaint

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FINRA recently filed an amended complaint against Craig Scott Capital, LLC and its co-founders, Craig Scott […]

by Lindsay GoMegaFINRA, Press Releases & NewsFebruary 12 2016