Richard Frankowski, Author at FrankowskiFirm - Page 35 of 70 Blog Posts

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 Texas Man Convicted Of Securities Fraud

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A federal jury on Monday convicted a Rockwall, Texas man of securities fraud arising from an […]

by Richard FrankowskiFraud, Press Releases & NewsOctober 21 2015 FINRA Fines Twelve Firms A Combined $6.7M

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FINRA ordered twelve firms to pay restitution over $4 million and fines over $2.6 million for failing […]

by Richard FrankowskiFINRA, Press Releases & NewsOctober 20 2015 What Advisers Get Wrong About Variable Annuities

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Both advisers and insurers believe that variable annuities with guaranteed benefit riders are the most complicated […]

by Richard FrankowskiNews & EducationOctober 19 2015 Securities Industry, DOL Fight Over Cost Of Fiduciary Rule

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Labor Secretary Thomas Perez backed a proposal to increase investment advice standards for retirement accounts by […]

by Richard FrankowskiPress Releases & NewsOctober 19 2015 Financial Adviser Sentenced For Defrauding Disabled Woman

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Jodene Beaver has spent the majority of her 56 years dealing with physical and mental impairments. […]

by Richard FrankowskiFraud, Press Releases & NewsOctober 16 2015 FINRA Fines Six IBDs For Failing To Discount Large REIT Sales

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Voya Financial Advisors Inc., Transamerica Financial Advisors Inc. and four other independent broker-dealers failed to give […]

by Richard FrankowskiFINRA, Press Releases & NewsOctober 15 2015 Fiat Chrysler Investigated For Alleged Securities Fraud

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Fiat Chrysler Automobiles N.V. is being investigated for allegedly violating specific sections of the Securities Exchange […]

by Richard FrankowskiFraud, Press Releases & NewsOctober 14 2015 FINRA Fines Santander Securities LLC $6.4 Million For Supervisory Failures

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FINRA mandated that Santander Securities LLC pay about $4.3 million in restitution to a number of […]

by Richard FrankowskiFINRA, Press Releases & NewsOctober 13 2015