Richard Frankowski, Author at FrankowskiFirm - Page 36 of 70 Blog Posts

SEC Orders Atlanta Investment Firm To Pay $585,000

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The SEC has ordered Atlanta, Georgia investment firm Timbervest to pay $585,000 in a long-running dispute […]

by Richard FrankowskiPress Releases & News, SECSeptember 25 2015 Investors Lose $11.7 Million In Risky Hedge Fund Through Lincoln Financial

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According to a FINRA Letter of Acceptance, Waiver and Consent (“AWC”), between about October 2008 and […]

by Richard FrankowskiFINRA, Press Releases & NewsSeptember 24 2015 Two Charged In Alabama Securities Fraud Case

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Bruce Alexander Gwyn of Metairie, Lousiana and James Anthony Ghio of Fairhope, Alabama were arrested on […]

by Richard FrankowskiFraud, Press Releases & NewsSeptember 23 2015 FINRA Sanctions Ten Former Global Arena Representatives

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During a 2014 onsite exam, FINRA found numerous securities violations at Global Arena Capital Corp., including […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsSeptember 23 2015 Texas Bitcoin Ponzi Scheme Operator Pleads Guilty To Securities Fraud

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In a landmark case that marked the intersection of cryptocurrency and traditional securities law, Trendon Shavers […]

by Richard FrankowskiFraud, Press Releases & News, SECSeptember 22 2015 Adviser Loses Job Following Weekend Client Raid

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An arbitration has been filed accusing Oppenheimer & Co. of overstepping its bounds during a three […]

by Richard FrankowskiFINRA, Press Releases & NewsSeptember 21 2015 FINRA August 2015 Disciplinary Actions: Part IV

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Mark Andrew Bullivant of Fort Myers, Florida submitted a letter of acceptance, waiver, and consent that […]

by Richard FrankowskiFINRA, Press Releases & NewsSeptember 18 2015 FINRA August 2015 Disciplinary Actions: Part III

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Edward D. Jones & Co., L.P. of St. Louis, Missouri submitted a letter of acceptance, waiver, […]

by Richard FrankowskiFINRA, Press Releases & NewsSeptember 17 2015 FINRA August 2015 Disciplinary Actions: Part II

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Newbridge Securities Corporation of Fort Lauderdale, Florida submitted a letter of acceptance, waiver, and consent that censured […]

by Richard FrankowskiFINRA, Press Releases & News, SECSeptember 16 2015 FINRA August 2015 Disciplinary Actions: Part I

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Dempsey Lord Smith, LLC and Jerry Eskel Dempsey, Jr. of Rome, Georgia submitted a letter of […]

by Richard FrankowskiFINRA, Press Releases & News, SECSeptember 15 2015