The Frankowski Firm, Author at FrankowskiFirm - Page 6 of 31 Blog Posts
SEC ANNOUNCES $900,000 AWARD TO WHISTLEBLOWER FOR PROVIDING TIMELY ASSISTANCE REGARDING SECURITIES LAW VIOLATION INVESTIGATIONarchive.php
On November 19, 2020, the Securities & Exchange Commission announced an award of $900,000 to a […]
by The Frankowski FirmLegal MattersDecember 4 2020 SEC ANNOUNCES $6 MILLION JOINT AWARD TO WHISTLEBLOWERS FOR PROVIDING SUBSTANTIAL ASSISTANCE REGARDING SECURITIES LAW VIOLATIONSarchive.php
On December 1, 2020, the Securities & Exchange Commission announced an award of $6 million to […]
by The Frankowski FirmLegal MattersDecember 3 2020 MOLONEY SECURITIES CO. INC. FINED $100,000 FOR HAVING NO PROPER SYSTEM TO PREVENT PRICE MANIPULATIONSarchive.php
Moloney Securities Co. Inc. was recently censured and fined $100,000 and required to pay $15,574.13, in […]
by The Frankowski FirmLegal MattersNovember 20 2020 LOUIS COOK BARRED FOR INTENTIONAL MISREPRESENTATIONS TO ELDERLY CUSTOMERS AND PARENTS OF DISABLED CHILDRENarchive.php
The Financial Industry Regulatory Authority (“FINRA”) has banned Louis Cook, who was a Staten Island, New […]
by The Frankowski FirmLegal MattersNovember 19 2020 DEE DEE BROOKS BARRED FOR SOLICITING OVER $1.7 MILLION IN UNAPPROVED TRANSACTIONSarchive.php
The Financial Industry Regulatory Authority (“FINRA”) has barred Dee Dee Brooks, of Sarasota, Florida, based on […]
by The Frankowski FirmLegal MattersNovember 17 2020 APEX CLEARING CORPORATION FINED $250,000 FOR FAILING TO CONFIRM CUSTOMER RECEIPT OF INTEREST RATE DISCLOSURESarchive.php
The Financial Industry Regulatory Authority (“FINRA”) has censured and fined Apex Clearing Corporation for violations of […]
by The Frankowski FirmLegal MattersNovember 9 2020 ERIK PICA BARRED BY FINRA FOR TAKING AN ELDERLY CLIENT’S MONEY AND BUYING A HOUSEarchive.php
The Financial Industry Regulatory Authority (“FINRA”) has barred Joseph Stone Capital, LLC representative Erik Pica following […]
by The Frankowski FirmLegal MattersNovember 4 2020 TWO SIGMA SECURITIES, LLC FINED $225,000 FOR VIOLATING LOCATE REQUIREMENTarchive.php
Recent Financial Industry Regulatory Authority (“FINRA”) findings reveal that Two Sigma Securities, LLC failed to comply […]
by The Frankowski FirmLegal MattersNovember 2 2020 BNP PARIBAS SECURITIES CORPORATION FINED $650,000 FOR FAILED CREDIT AND ORDER CONTROLSarchive.php
BNP Paribas Securities Corporation was recently fined for failing to create or maintain a risk management […]
by The Frankowski FirmLegal MattersOctober 30 2020 MOORS & CABOT, INC. FINED $250,000 FOR ERRONEOUS ORDER REPORTS AND PROCEDURESarchive.php
Moors & Cabot, Inc. has been fined by the Financial Industry Regulatory Authority (“FINRA”) for failing […]
by The Frankowski FirmLegal MattersOctober 29 2020