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Richard Frankowski, Author at FrankowskiFirm - Page 3 of 70 Blog Posts

Broker Roger Gallagher Barred by FINRA: What Happened

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Broker Roger Gallagher barred by FINRA after refusing to cooperate with an investigation. Learn what happened and what it means for affected investors.

by Broker Check|FINRA|Fraud|Legal Matters|Press Releases & News|SECFebruary 26 2026 Broker Roger Gallagher at his desk after being barred by FINRA. LPL Broker Michael Graham: “Selling Away” Allegations

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LPL Financial, LLC Broker Michael Graham subject of customer dispute alleging “selling away” and unsuitable investments. Learn what this means for investors.

by Blog|Fraud|Legal MattersFebruary 26 2026 LPL broker Michael Graham subject of a customer dispute alleging "selling away". Merrill Lynch Broker Reed Smith: Complaint History

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Get the facts on Merrill Lynch, Pierce, Fenner & Smith Broker Reed Smith, including his complaint history, services, and what clients should watch for.

by Broker CheckNovember 17 2025 Merrill Lynch broker Reed Smith in an office, facing scrutiny over his customer complaint history. How to Recover Alternative Investment Losses

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Learn practical steps to recover alternative investment losses, spot broker misconduct, and protect your portfolio from unnecessary risk and hidden fees.

by FraudNovember 14 2025 A lighthouse in a stormy sea offers a path to recover alternative investment losses. How to Recover Structured Product Losses: A Guide

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Learn practical steps to address structured product losses, spot broker misconduct, and explore your options for recovering lost investments.

by FraudNovember 13 2025 An investor planning to recover structured product losses while looking over a city. What to Know About Stifel Broker Michelle Stebbins

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Get the facts on Stifel, Nicolaus & Company, Inc. Broker Michelle Stebbins, including her background, services, recent complaints, and tips for investors.

by Broker CheckNovember 12 2025 Stifel broker Michelle Stebbins facing investor complaints and supervisory failures. Investor Alert: Wells Fargo Broker Jamie Estrada

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Learn about Wells Fargo Advisors Financial Network, LLC Broker Jamie Estrada, his background, customer complaints, and what to do if you spot red flags.

by Broker CheckNovember 11 2025 Investor alert regarding Wells Fargo Advisors broker Jamie Estrada and customer complaints. Investigating LPL Financial LLC Broker Brian Lesley

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Get the facts on LPL Financial LLC Broker Brian Lesley, including his background, services, and recent customer complaints to help you make informed decisions.

by Broker CheckNovember 10 2025 Reviewing the FINRA record and complaints against LPL Financial broker Brian Lesley. FINRA Suspends Curtis W. Smith: What Investors Need to Know

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FINRA suspends financial advisor Curtis W. Smith for misconduct. Learn what this means for investors and how to protect your accounts from similar risks.

by FINRANovember 7 2025 FINRA suspends financial advisor Curtis W. Smith, a ruling represented by a gavel and law book. Suspended Investment Advisor Muhammad R. Wahdy: What to Know

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Suspended Investment Advisor Muhammad R. Wahdy faced FINRA action for undisclosed business activities. Learn what happened and how to protect your investments.

by FINRANovember 7 2025 Courtroom bench symbolizing the suspension of investment advisor Muhammad R. Wahdy.