Richard Frankowski, Author at FrankowskiFirm - Page 57 of 70 Blog Posts

FINRA Leaves Two Dead Arbitrators On List

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A couple in Wichita have been left wondering who the industry funded Financial Industry Regulatory Authority […]

by Richard FrankowskiNews & EducationMay 6 2014 Reef Oil & Gas Investment Products Being Investigated

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Reef Oil & Gas Income and Development Fund III, L.P. is currently under investigation for selling […]

by Richard FrankowskiNews & EducationApril 30 2014 ICON Leasing Funds Being Investigated

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ICON Leasing Funds are currently being investigated as broker-dealers may have sold funds without performing adequate […]

by Richard FrankowskiLegal MattersApril 28 2014 SEC Gets Freeze On AwesomePennyStocks Promoter’s Assets

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The SEC won a freeze on John Babikian’s assets this week. Babikian is a Bugatti-driving 26 […]

by Richard FrankowskiPress Releases & NewsApril 25 2014 New York To Welcome Regulated Bitcoin Exchanges

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Bitcoin exchanges may soon be coming to the Empire State, but such exchanges will be subject […]

by Richard FrankowskiPress Releases & NewsApril 24 2014 SEC Charges San Diego Investment Adviser

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Last week, the SEC filed charges against a San Diego investment advisory firm called Total Wealth […]

by Richard FrankowskiPress Releases & NewsApril 21 2014 Agent Sentenced To Five Years In Southern California For Ponzi Scheme

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National and State Resources Run a FINRA check on your broker or brokerage firm by clicking FINRA […]

by Richard FrankowskiPress Releases & NewsApril 18 2014 Ruling Upcoming On Fiduciary Duty For Brokers

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Should brokers be required to act in the best interest of their clients when providing personalized […]

by Richard FrankowskiPress Releases & NewsApril 16 2014 Bitcoin Entrepreneurs Urge For More Regulation

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Last month, the IRS declared that it would consider bitcoins as property and not currency for […]

by Richard FrankowskiLegal MattersApril 15 2014 According To The SEC, More Than 200 Private-Equity Firms Have Imposed Bogus Fees

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The SEC has announced that over half of the private-equity firms it has investigated have charged […]

by Richard FrankowskiPress Releases & NewsApril 14 2014