The Frankowski Firm, Author at FrankowskiFirm - Page 5 of 31 Blog Posts
MICHAEL ECKER NAMED IN CUSTOMER COMPLAINTS ALLEGING UNSUITABLE INVESTMENTSarchive.php
Michael Ecker, a stockbroker in Concorde Investment Services’ Wellington, FL branch office, has been named in […]
by The Frankowski FirmLegal MattersJuly 2 2021 
MATTHEW CLASON, FORMER LPL FINANCIAL ADVISOR, ADMITS TO STEALING MORE THAN $600,000 FROM ELDERLY CLIENTarchive.php
Former LPL Financial representative Matthew Clason waived his right to be indicted and pleaded guilty to […]
by The Frankowski FirmLegal MattersJune 3 2021 
AGITATED PITNEY BOWES CUSTOMERS COMPLAIN ABOUT OVERCHARGES, POOR CUSTOMER SERVICEarchive.php
Pitney Bowes company has drawn multiple consumer complaints from customers who have cancelled their Pitney Bowes […]
by The Frankowski FirmLegal MattersJune 2 2021 
JONATHAN P. MARONEY, HARBOR CITY CAPITAL CORP., CHARGED BY SEC WITH OPERATING $17.1 MILLION PONZI SCHEMEarchive.php
The Securities and Exchange Commission (“SEC”) announced on April 26, 2021, that it filed an emergency […]
by The Frankowski FirmLegal MattersMay 12 2021 
INTERACTIVE BROKERS AND CHARLES SCWHAB HIT WITH $4.6 MILLION ARBITRATION AWARDarchive.php
An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) has entered a $4.6 million award […]
by The Frankowski FirmLegal MattersApril 9 2021 Infinity Q Lossesarchive.php
The Frankowski Firm is investing potential claims for investors suffering from Infinity Q Losses.
Infinity Q Diversified Alpha Fund Institutional Class (NASDAQ:IQDNX) and Infinity Q Diversified Alpha Fund Investor Class (NASDAQ:IQDAX). It specifically relates to whether brokerage firm sales practices and due diligence conducted in connection with the recommendations to purchase or hold Infinity Q funds harmed investors.
by The Frankowski FirmLegal MattersMarch 15 2021 
TRIAD ADVISORS FINED $150,000 FOR FAILING TO SUPERVISE SHORT-TERM TRADES OF CLASS A SHARE MUTUAL FUNDSarchive.php
According to a letter of acceptance, waiver and consent issued by FINRA, from June 3, 2015 […]
by The Frankowski FirmLegal MattersFebruary 12 2021 FIRST STANDARD FINED AND BANNED FOR UNAUTHORIZED, EXCESSIVE, AND UNSUITABLE TRADINGarchive.php
First Standard Financial Advisory, LLC, based in Red Bank, New Jersey, has been sanctioned and barred […]
by The Frankowski FirmLegal MattersFebruary 12 2021 GPB CAPITAL FOUNDER AND CEO INDICTED IN PRIVATE EQUITY INVESTMENT FRAUDarchive.php
An indictment was unsealed in federal court on February 4, 2021, charging GPB Capital Holdings, LLC […]
by The Frankowski FirmLegal MattersFebruary 10 2021 KEVIN MCCALLUM HIT WITH $4.8 MILLION CUSTOMER CLAIM INVOLVING MEDLEY CAPITAL STOCKarchive.php
Kevin McCallum, an Alabama-based stockbroker and financial advisor with Glacier Point Advisors, LLC, who was previously […]
by The Frankowski FirmFINRAFebruary 2 2021