The Frankowski Firm, Author at FrankowskiFirm - Page 7 of 31 Blog Posts
LOST MONEY INVESTING THROUGH ROBINHOOD? LEARN YOUR OPTIONS FOR RECOVERY WITH THE FRANKOWSKI FIRMarchive.php
According to the Consumer Financial Protection Bureau’s (CFPB) Consumer Complaint Database, the popular investing and trading […]
by The Frankowski FirmLegal MattersOctober 26 2020 KIMBERLEE LEVY & CONCORDE INVESTMENT SERVICES, LLC FINED $300,000 FOR ALLOWING SUSPENDED BROKER TO INTERFERE WITH TRANSACTIONSarchive.php
Concorde Investment Services, LLC and its Chief Compliance Officer, Kimberlee Elizabeth Levy, were recently censured and […]
by The Frankowski FirmLegal MattersOctober 23 2020 LEK SECURITIES CORPORATION FINED AND SUSPENDED FOR IMPROPER MICROCAP SECURITIES TRADINGarchive.php
Lek Securities Corporation was recently found by the Financial Industry Regulatory Authority (“FINRA”) to have failed […]
by The Frankowski FirmLegal MattersOctober 22 2020 FRANKOWSKI FIRM INVESTIGATING LOSSES IN NEW YORK CITY REIT, INC.archive.php
The value of New York City REIT, Inc. has tanked since its public listing in August […]
by The Frankowski FirmLegal MattersOctober 21 2020 TROY BAILY, FORMERLY OF SAGEPOINT FINANCIAL INC., SUSPENDED AND FINED BY FINRA FOR TRADING WITHOUT WRITTEN APPROVALarchive.php
On October 19, 2020, the Financial Industry Regulatory Authority fined and suspended former broker of SagePoint […]
by The Frankowski FirmLegal MattersOctober 20 2020 MORGAN STANLEY SANCTIONED $949,000 FOR UNSUITABLE SHORT-TERM TRADING OF CORPORATE BONDSarchive.php
Morgan Stanley Smith Barney LLC was recently sanctioned for failing to reasonably supervise a representative for […]
by The Frankowski FirmLegal MattersOctober 16 2020 SAGEPOINT FINANCIAL FOUND TO HAVE COST CUSTOMERS $1.3 MILLION IN AVOIDABLE SALES CHARGESarchive.php
From January 2013 through December 2017, SagePoint Financial Inc. failed to create or maintain a supervisory […]
by The Frankowski FirmLegal MattersOctober 15 2020 NEWPORT COAST SECURITIES, INC. EXPELLED AND FINED FOR CHURNING AND TRADING CUSTOMER ACCOUNTSarchive.php
Newport Coast Securities, Inc. was recently expelled from FINRA membership fined $403,000 and ordered to pay […]
by The Frankowski FirmLegal MattersOctober 14 2020 CITADEL SECURITIES SANCTIONED $700,000 FOR REMOVAL OF CUSTOMER ORDERSarchive.php
Citadel Securities established an Over-the-Counter equity trading desk in November 2011 to receive orders from the […]
by The Frankowski FirmLegal MattersOctober 9 2020 JASON K. WILLIAMS HIT WITH $45,000 FINRA ARBITRATION AWARD OVER UNSUITABLE AND OVER-CONCENTRATED INVESTMENTS.archive.php
On September 22, 2020, an arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) made findings […]
by The Frankowski FirmLegal MattersOctober 1 2020