The Frankowski Firm, Author at FrankowskiFirm - Page 4 of 31 Blog Posts

JEFFREY DAMPF BARRED BY FINRA AFTER INVESTIGATION INTO $1.5 MILLION ELDER THEFT SCANDAL

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Jeffrey Dampf (CRD #5676205) was barred from association with FINRA in all capacities on October 1, […]

by The Frankowski FirmLegal MattersJanuary 13 2022 WESTPARK CAPITAL AND RICHARD RAPPAPORT SANCTIONED, FINED $280,000, SUSPENDED, ON FINDINGS THEY MISLED INVESTORS, VIOLATED RULES

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WestPark Capital, of Los Angeles California, and its CEO, Richard Rappaport, have been sanctioned and fined […]

by The Frankowski FirmLegal MattersJanuary 10 2022 MERRILL LYNCH FINED $1.5 MILLION FOR SUPERVISORY FAILURES

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Merrill Lynch has been fined $1.5 million by the Financial Industry Regulatory Authority (“FINRA”) for its […]

by The Frankowski FirmLegal MattersJanuary 6 2022 NYLIFE Securities Censured and Fined $200,000 for Supervisory Blunder

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NYLIFE Securities LLC has been censured and fined by the Financial Industry Regulatory Authority (“FINRA”). According […]

by The Frankowski FirmLegal MattersJanuary 3 2022 KENNETH WELSH CHARGED WITH STEALING $3 MILLION

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On October 28, 2021, the Securities and Exchange Commission (SEC) charged Kenneth Welsh with stealing approximately […]

by The Frankowski FirmLegal MattersNovember 17 2021 JOHN WOODS ALLEGEDLY STEALS $110 MILLION FROM ELDERLY INVESTORS

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The SEC has filed an emergency action to stop an alleged decade-long Ponzi scheme perpetrated by […]

by The Frankowski FirmLegal MattersSeptember 1 2021 YELLOWSTONE CAPITAL PAYS $9.8 MILLION IN FTC SETTLEMENT

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by The Frankowski FirmLegal MattersSeptember 1 2021 SEC CLAIMS MARTIN RUIZ STOLE $9.2 MILLION FROM ELDERLY CLIENTS

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The SEC has obtained a court order to stop Santa Fe, New Mexico financial advisor Martin […]

by The Frankowski FirmLegal MattersAugust 18 2021 DWIGHT DYKSTRA SUSPENDED ONE YEAR FOR SELLING AWAY FROM HIS FIRM

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Dwight Dykstra (“Dykstra”), a Maitland, Florida stockbroker, has been suspended from acting as a broker for […]

by The Frankowski FirmLegal MattersAugust 13 2021 Xhiangu Zhang, Former Merrill Lynch, Cetera, and Wells Fargo Broker, Barred by FINRA

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Xiangyu “Sean” Zhang has been indefinitely barred from association with any Financial Industry Regulatory Authority (“FINRA”) […]

by The Frankowski FirmLegal MattersJuly 9 2021