The Frankowski Firm, Author at FrankowskiFirm - Page 3 of 31 Blog Posts

DEUTSCHE BANK SLAPPED WITH $2 MILLION FINE FOR EXECUTION FAILURES

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Deutsche Bank Securities, Inc. has been fined $2 million by the Financial Industry Regulatory Authority (“FINRA”) […]

by The Frankowski FirmLegal MattersMarch 14 2022 DENNIS AYRE BANNED BY FINRA

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The Financial Industry Regulatory Authority (“FINRA”) has barred Dennis Ayre from the securities industry based on […]

by The Frankowski FirmLegal MattersMarch 7 2022 WELLS FARGO FINED $2.3 MILLION FOR IMPROPER CUSTOMER RECORDS STORAGE

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Wells Fargo Advisors Financial Network, LLC and Wells Fargo Clearing Services, LLC (collectively, “Wells Fargo”) have […]

by The Frankowski FirmLegal MattersFebruary 28 2022 INVESTMENT SUITABILITY 101: HOW TO PROTECT YOUR RIGHTS

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An investment suitability analysis is required – by industry rules and by law – before a […]

by The Frankowski FirmLegal MattersFebruary 24 2022 SAFEGUARD METALS AND JEFFREY SANTULAN ACCUSED BY SEC OF ELDER FRAUD IN GOLD AND SILVER COIN SALES

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The SEC has filed a complaint against Safeguard Metals LLC and its owner, Jeffrey Santulan, for […]

by The Frankowski FirmLegal MattersFebruary 21 2022 GERMAN NINO, UBS FINANCIAL ADVISER, ACCUSED OF ABUSING CLIENTS’ TRUST AND STEALING $5.8 MILLION

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German Nino has been charged with stealing $5.8 million from long-standing clients. Nino, 56, is a […]

by The Frankowski FirmLegal MattersFebruary 14 2022 HONEST WHISTLEBLOWERS RECEIVE $40 MILLION IN AWARDS FROM SEC

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In January 2022, the Securities and Exchange Commission (SEC) announced it awarded four whistleblowers $40 million […]

by The Frankowski FirmLegal MattersFebruary 10 2022 BRIAN PEARCE SUSPENDED, FINED $5,000 ON FINDINGS HE VIOLATED FINRA RULES

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Brian Pearce (#1334784) was suspended from acting as a FINRA broker and fined $5,000 after thirty-six […]

by The Frankowski FirmLegal MattersFebruary 7 2022 CREDIT SUISSE SECURITIES FINED $9 MILLION FOR INVESTMENT OPERATIONAL FAILURES

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Credit Suisse Securities has been fined $9 million by the Financial Industry Regulatory Authority (“FINRA”) for […]

by The Frankowski FirmLegal MattersJanuary 24 2022 DONNA JEAN HINES BARRED BY FINRA FOLLOWING BITCOIN SALE INVESTIGATION

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Donna Jean Hines (CRD #4275524) was barred by FINRA from serving as a financial advisor in […]

by The Frankowski FirmLegal MattersJanuary 17 2022