Richard Frankowski, Author at FrankowskiFirm - Page 34 of 70 Blog Posts

FINRA Issues Investor Alert On IRS Impersonation Scam

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FINRA issued a new investor alert, called Tools of the Fraud Trade: Phones and Emotions, warning investors […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsNovember 9 2015 FINRA Wants ‘Significant Fine’ From MetLife For Variable Annuity Sales

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MetLife Inc., the biggest life insurer in the country, said that FINRA will seek a “significant […]

by Richard FrankowskiFINRA, Press Releases & NewsNovember 6 2015 FINRA Interested In Disciplining, Not Punishing

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FINRA emphasized that the regulatory authority’s first goal is the “blocking and tackling” of enforcing its […]

by Richard FrankowskiFINRA, Press Releases & NewsNovember 5 2015 California Man Indicted For Defrauding Alabama Investor

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Daniel Scott Register of Valencia, California was indicted in Calhoun County, Alabama on charges of defrauding […]

by Richard FrankowskiFraud, Press Releases & NewsNovember 2 2015 Texas Man Sentenced For Selling Unregistered Securities To Alabama Investor

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Richard Waskom of McKinney, Texas pleaded guilty to one count of Sale of Unregistered Securities before […]

by Richard FrankowskiPress Releases & NewsOctober 30 2015 Massachusetts Charges Fidelity With Dishonest And Unethical Behavior

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In an administrative complaint, Massachusetts charged Fidelity Brokerage Services with dishonest and unethical behavior for letting […]

by Richard FrankowskiPress Releases & NewsOctober 29 2015 Five More Firms To Pay $18M For Overcharges

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FINRA has ordered five broker-dealers to reimburse clients a sum of $18.4 million for charging them improper […]

by Richard FrankowskiFINRA, Press Releases & NewsOctober 28 2015 FanDuel, DraftKings Accused Of “Insider Trading”

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FanDuel and DraftKings, the two major daily fantasy sports websites, have been accused of insider trading, […]

by Richard FrankowskiPress Releases & NewsOctober 27 2015 Legislators Frustrated As SEC Slogs Toward Proposing A Fiduciary Rule

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Legislators have expressed frustration with how slowly the SEC has moved toward proposing a rule that […]

by Richard FrankowskiPress Releases & News, SECOctober 26 2015 2015 Brings New Highs For SEC In Enforcement Actions And Fines

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The SEC focused on a number of new kinds of errant financial behavior in 2015 as […]

by Richard FrankowskiPress Releases & News, SECOctober 22 2015