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

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 FINRA Expels Halcyon Cabot Partners And Bars CEO And CCO

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FINRA expelled New York-based Halcyon Cabot Partners, Ltd., and barred Chief Executive Officer Michael Morris and Chief […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsOctober 8 2015 Mobile, Alabama Man Arrested For Alleged Securities Violations

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Richard James Tucker of Mobile, Alabama was arrested last week by Baldwin County, Alabama Sheriff’s Department […]

by Richard FrankowskiFraud, Press Releases & NewsOctober 7 2015 DOL Fiduciary Debate Heats Up

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The fight over a Department of Labor proposal to increase investment advice standards for retirement accounts […]

by Richard FrankowskiPress Releases & News, SECOctober 5 2015 FINRA Fines UBS Puerto Rico $18.5M

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FINRA censured and fined UBS Financial Services Incorporated of Puerto Rico $7.5 million for supervisory failures […]

by Richard FrankowskiFINRA, Press Releases & NewsOctober 1 2015 Former New Jersey Fire Chief To Pay $6.7M For Securities Fraud

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Vincent P. Falci, a former New Jersey fire chief, his wife, his son, and the companies […]

by Richard FrankowskiFraud, Press Releases & NewsSeptember 30 2015 North Carolina Man Arrested For Securities Fraud

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U.S. marshals arrested John Natale Michelotti of Clemmons, North Carolina for a fraud that bilked victims […]

by Richard FrankowskiFraud, Press Releases & NewsSeptember 29 2015 Whole Foods Hit With Shareholder Suit For Misleading Pricing Scandal

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Whole Foods’ misleading product labeling drew the ire of the New York City Department of Consumer […]

by Richard FrankowskiFraud, Press Releases & NewsSeptember 28 2015