The Frankowski Firm Blog Posts

BOB WAMHOFF DRAWS 10 CUSTOMER COMPLAINTS

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The Frankowski Firm is investigating potential claims against former stockbroker Robert Edward “Bob” Wamhoff.  Until 2019, […]

by The Frankowski FirmLegal MattersSeptember 16 2022 OPPENHEIMER LOSES $36.7 MILLION FINRA ARBITRATION CLAIM

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Oppenheimer & Co., Inc. has been hit with a $36.7 million award against it, issued by […]

by The Frankowski FirmLegal MattersSeptember 16 2022 MICHAEL TODD FIRED BY CENTAURUS FINANCIAL FOLLOWING CUSTOMER COMPLAINTS

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Michael Todd, of Crystal River, Florida, has been fired by Centaurus Financial, Inc. after failing to […]

by The Frankowski FirmLegal MattersSeptember 1 2022 SURESH KUMAR BARRED FROM FINRA FOR STEALING FUNDS FROM CLIENTS

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The Financial Industry Regulatory Authority (“FINRA”) has barred former T3 Trading Group stockbroker Suresh Kumar, of […]

by The Frankowski FirmLegal MattersAugust 29 2022 DAVID N. WOOD, OF MOLONEY SECURITIES, INC., HIT WITH $600,000 CUSTOMER COMPLAINT

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David N. Wood, a stockbroker with Moloney Securities, Inc.’s Manchester, Missouri office, is the subject of […]

by The Frankowski FirmLegal MattersAugust 22 2022 SHANE WILHELM ACCUSED BY MULTIPLE CLIENTS OF MISREPRESENTING ACCOUNT ASSETS

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Shane Wilhelm, a stockbroker with Fortune Financial Services, Inc. of Moneta, Virginia, has been accused by […]

by The Frankowski FirmLegal MattersAugust 18 2022 JOHN DENNIS LOWRY NAMED IN FINRA DISCIPLINARY ACTION AND TWELVE CUSTOMER COMPLAINTS

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John Dennis Lowry, the owner of Spartan Capital Securities, LLC of New York, New York, has […]

by The Frankowski FirmLegal MattersAugust 15 2022 MICHAEL CASTILLERO AMONG THOSE NAMED IN $410 MILLION PONZI SCHEME CASE

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Michael Castillero has been named by the Securities and Exchange Commission in a stock fraud civil […]

by The Frankowski FirmLegal MattersAugust 8 2022 BRIAN DONNELLY SUSPENDED BY FINRA FOR SELLING AWAY

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The Financial Industry Regulatory Authority (“FINRA”) has suspended First Allied Securities broker Brian Donnelly for four […]

by The Frankowski FirmLegal MattersAugust 1 2022 JEREMY FORTNER OF WELLS FARGO BARRED BY FINRA

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Jeremy Fortner, former Wells Fargo-associated stockbroker in Beverly Hills, California has been barred by the Financial […]

by The Frankowski FirmLegal MattersJuly 28 2022