Richard Frankowski, Author at FrankowskiFirm - Page 58 of 68 Blog Posts

What Is FINRA?

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The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory organization, a non-governmental organization that performs […]

by Richard FrankowskiLegal MattersMarch 17 2014 Jefferies Agrees To Pay $25 million For Mortgage Backed SecuritiesViolations

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The Securities and Exchange Commission has charged global investment bank and brokerage firm Jefferies LLC with […]

by Richard FrankowskiNews & EducationMarch 14 2014 JP Morgan Settles Suit Over Toxic Mortgage Backed Securities for $400 Million

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US banking giant JPMorgan Chase has agreed to pay USD 400 million in a settlement for […]

by Richard FrankowskiNews & EducationMarch 13 2014 RBS reaches $275 million mortgage-backed securities settlement

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On Feb. 19, RBS officials announced that the company had reached a $275 million settlement with […]

by Richard FrankowskiNews & EducationMarch 12 2014 The Commodity Futures Trading Commission Investigating Managed Future Funds

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The Commodity Futures Trading Commission (CFTC) is investigating the sky high fees that are charged to […]

by Richard FrankowskiNews & EducationMarch 11 2014 Securities and Investment Lawyers Petition Congress For More Disclosures From FINRA’s BrokerCheck

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A group of securities and investment attorneys has asked Congress to provide more information to consumers […]

by Richard FrankowskiPress Releases & NewsMarch 7 2014 Morgan Stanley Says $111M MBS Suit Distorts Contract Terms After Failure Of Own Underwriting

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A Morgan Stanley subsidiary on Tuesday argued that a New York judge should dismiss a breach […]

by Richard FrankowskiNews & EducationMarch 5 2014 U.S. Supreme Court Limits SLUSA; Allows State-Law Securities Class Actions to Proceed

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On February 26, 2014, the Supreme Court decided Chadbourne & Parke LLP v. Troice, 571 U.S. […]

by Richard FrankowskiPress Releases & NewsMarch 4 2014 Countrywide Alleges Fraud and Misrepresentations Claims Against It Are Time Barred

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Countrywide Financial group is urging a California court to dismiss racketeering claims brought against it by […]

by Richard FrankowskiNews & EducationMarch 3 2014 Scottrade Admits to Wrongful Record Keeping

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Last week, Scottrade Inc. became the latest entity to admit wrongdoing in connection with settling SEC […]

by Richard FrankowskiNews & EducationFebruary 24 2014