Richard Frankowski, Author at FrankowskiFirm - Page 56 of 70 Blog Posts

SEC Brings Suit Against Unregistered Broker Dealer

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On May 15, the SEC filed a complaint against Behrooz Sarafraz in California federal court, alleging […]

by Richard FrankowskiPress Releases & NewsMay 30 2014 SEC Denies Enforcement Action For Failure To Timely File Claim

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The SEC recently denied a whistleblower claimant a Commission enforcement action award because the claimant did […]

by Richard FrankowskiPress Releases & NewsMay 28 2014 Oil And Gas Firm Merger Hampered By Class Claims And Conflicted Financial Advisers

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Plaintiffs in a new class-action suit claim that the financial advisers hired to oversee a proposed […]

by Richard FrankowskiPress Releases & NewsMay 27 2014 Michael Steinberg Sentenced To 3.5 Years For Insider Trading

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A Manhattan federal judge recently sentenced Michael Steinberg to 3.5 years in prison, three years of […]

by Richard FrankowskiPress Releases & NewsMay 23 2014 SEC Warns About Marijuana Related Investments

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The SEC issued an investor alert warning potential investors of possible scams pertaining to marijuana-related investments, […]

by Richard FrankowskiPress Releases & NewsMay 22 2014 SEC Warns About Investing In Bitcoin

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Bitcoin is in the news again as the SEC issued an Investor Alert earlier this month […]

by Richard FrankowskiPress Releases & NewsMay 21 2014 FINRA Fines Morgan Stanley Smith Barney LLC

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FINRA announced recently that it fined Morgan Stanley Smith Barney LLC $5 million for supervisory failures […]

by Richard FrankowskiPress Releases & NewsMay 20 2014 New FINRA Rule Aimed At Limiting Self-Trading

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FINRA announced recently that the SEC has approved a rule change designed to limit self-trading. FINRA […]

by Richard FrankowskiNews & EducationMay 16 2014 Wylys Used Offshore Trusts To Conceal Trades

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This week a jury found that the Wyly brothers, Samuel and Charles, utilized a network of […]

by Richard FrankowskiPress Releases & NewsMay 14 2014 Oppenheimer Conceals Evidence In Fraud Case

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A couple from Long Island who lost over $5 million in a scheme perpetrated by Mark […]

by Richard FrankowskiPress Releases & NewsMay 7 2014