Richard Frankowski, Author at FrankowskiFirm - Page 41 of 70 Blog Posts

Canadian Trader Charged for Short Selling U.S. Stocks

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The SEC filed a complaint in the U.S. District Court in San Francisco alleging that Andrew […]

by Richard FrankowskiFraud, Press Releases & News, SECJuly 17 2015 SEC Charges Oil Company, CEO, and Promotor with Fraudulent Penny Stock Sales

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On June 18, 2015, the SEC charged an oil company and its CEO for lying to […]

by Richard FrankowskiFraud, Press Releases & News, SECJuly 16 2015 Gold Mining Ponzi Scheme Targets Latinos in Florida

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On July 2, 2015, the SEC froze a fraudulent venture headed by DFRF Enterprises, its leader, […]

by Richard FrankowskiFraud, Press Releases & NewsJuly 6 2015 SEC Charges Atlanta Firm With Fraud Over Public Pension Funds

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The SEC filed fraud charges against an Atlanta-based investment firm and two of its executives for […]

by Richard FrankowskiPress Releases & News, SECMay 22 2015 Nationwide Insurance To Pay $8M Penalty

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Nationwide Insurance Fined $8M for Violations Nationwide Life Insurance Company will pay $8 million to settle […]

by Richard FrankowskiPress Releases & NewsMay 21 2015 UBS Loses Arbitration, Forced To Pay $200k

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UBS Loses Arbitration and Ordered to Pay $200K UBS lost an arbitration case this week pertaining […]

by Richard FrankowskiPress Releases & NewsMay 14 2015 LPL Financial Fined $11.7M For ‘Widespread Supervisory Failures’

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FINRA ordered LPL Financial to pay $11.7 million in fines and restitution for what it called […]

by Richard FrankowskiPress Releases & NewsMay 13 2015 FINRA Investigating National Securities Broker

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Financial Industry Regulatory Authority Investigating National Securities Broker FINRA has filed a complaint against broker Vito […]

by Richard FrankowskiBroker Check, FINRA, Press Releases & NewsMay 12 2015 Alabama Securities Fraudster’s Assets Intercepted

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The Alabama Securities Commission intercepted $16,000 worth of redeemed stock owned by Harry H. “Woody” Duncan […]

by Richard FrankowskiPress Releases & NewsMay 11 2015 Securities Fraud Trial Delayed For Alabama Tomato Farm Founder

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A judge in Madison County, Alabama has granted a continuation for the trial scheduled for May […]

by Richard FrankowskiPress Releases & NewsApril 23 2015