The Frankowski Firm, Author at FrankowskiFirm - Page 8 of 31 Blog Posts
JP MORGAN CHASE FINED $920 MILLION FOR “SPOOFING” MARKETSarchive.php
It was announced on September 29 that JPMorgan Chase agreed to settle with U.S. authorities and […]
by The Frankowski FirmLegal MattersSeptember 30 2020 SIERRA INCOME MERGER TERMINATION CAUSING INVESTMENT LOSSarchive.php
The Frankowski Firm is investigating potential claims related to investor losses in the Sierra Income Corporation. […]
by The Frankowski FirmLegal MattersSeptember 29 2020 SANDLAPPER SECURITIES EXPELLED AND TOP OFFICERS BARREDarchive.php
The Financial Industry Regulatory Authority (FINRA) has expelled Sandlapper Securities, LLC, from the securities industry based on FINRA […]
by The Frankowski FirmLegal MattersSeptember 28 2020 INTERACTIVE BROKERS HIT WITH $38 MILLION IN PENALTIES FOR REPEATEDLY FAILING TO FILE SUSPICIOUS ACTIVITY REPORTSarchive.php
The Securities and Exchange Commission, the Financial Industry Regulatory Authority (FINRA) and the Commodity Futures Trading […]
by The Frankowski FirmLegal MattersSeptember 10 2020 SAGEPOINT FINANCIAL FINED FOR FAILING TO SUPERVISE EARLY ROLLOVERS OF UNIT INVESTMENT TRUSTSarchive.php
The Financial Industry Regulatory Authority (“FINRA”) has fined and sanctioned SagePoint Financial, Inc. for failing to […]
by The Frankowski FirmLegal MattersAugust 18 2020 MERRILL LYNCH UNDER INVESTIGATION IN NEW HAMPSHIRE FOLLOWING CUSTOMER COMPLAINTSarchive.php
New Hampshire’s Bureau of Securities Regulation is investigating Merrill Lynch and one of its former top […]
by The Frankowski FirmLegal MattersJuly 14 2020 FREDERICK STOW, FORMER RAYMOND JAMES V.P., CHARGED WITH STEALING OVER $900,000 FROM ELDERLY CLIENTSarchive.php
The United States Attorney’s Office for the Middle District of Tennessee has announced charges against former […]
by The Frankowski FirmLegal MattersJuly 10 2020 SEC INVESTIGATING POTENTIAL WRONGDOING AT PROFESSIONAL FINANCIAL INVESTORS, INC., PROFESSIONAL INVESTORS SECURITIES FUND, INC.archive.php
The U.S. Securities and Exchange Commission is investigating two Marin County, California investment companies following the […]
by The Frankowski FirmLegal MattersJuly 7 2020 NORTHWESTERN MUTUAL FINED $350,000 AND CENSURED FOR SUPERVISORY FAILURESarchive.php
Northwestern Mutual Investment Services, LLC, headquartered in Milwaukee, Wisconsin, has been fined and censured by FINRA […]
by The Frankowski FirmLegal MattersJune 17 2020 BLOCK.ONE CLASS MEMBERS MAY OPT OUT OF THE CLASS ACTION TO PURSUE INDIVIDUAL CLAIMSarchive.php
Last month, investors filed a class action suit against blockchain software firm Block.one, alleging that the […]
by The Frankowski FirmLegal MattersJune 10 2020