Blog Archives - Page 2 of 3 - FrankowskiFirm Blog Posts

SEC Bars Advisor in $6.9 Million Free Riding Scheme

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On June 12, 2024, the Securities and Exchange Commission (SEC) filed a cease-and-desist order against former […]

by Richard FrankowskiBlogAugust 1 2024 Triad Advisors Faces $30 Million FINRA Complaint Over Alleged Supervisory Failures

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A significant legal battle is unfolding as more than 70 investors have filed a FINRA complaint […]

by Richard FrankowskiBlogAugust 1 2024 Financial Advisor Raul Benitez Faces Multiple Allegations of Unsuitable Investment Recommendations

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The recent allegations against financial advisor Raul Benitez have raised significant concerns within the securities industry. […]

by Richard FrankowskiBlogAugust 1 2024 Federal Sentencing of Fraudster Highlights the Ongoing Fight Against Elder Financial Abuse

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In a significant legal development, a federal judge in Montgomery, Alabama, has sentenced Nicholas Houston Allen […]

by Richard FrankowskiBlogAugust 1 2024 SEC Charges 16 Firms with $81 Million Penalty for Recordkeeping Failures

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On Feb. 9, 2024, in a significant enforcement action, the Securities and Exchange Commission (SEC) announced […]

by Richard FrankowskiBlogJuly 8 2024 Affinity Fraud: A Hidden Threat to Investors Highlighted by the Wilkinson Family Speaker Series

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Affinity fraud, a pernicious form of investment fraud targeting specific groups with shared identities, took center […]

by Richard FrankowskiBlogJuly 8 2024 The DOL Elevated Conduct Standards for Retirement Advisors

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The U.S. Department of Labor (DOL) has recently finalized a rule designed to elevate conduct standards […]

by Richard FrankowskiBlogJuly 8 2024 Enhancing Investor Protection: The SEC’s New Public Service Campaign

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The recent announcement by the Securities and Exchange Commission (SEC) regarding its new public service campaign […]

by Richard FrankowskiBlogJuly 8 2024 SEC Charges JAG Capital Advisors and Founder with Investment Fraud

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In recent news, the Securities and Exchange Commission (SEC) has brought forth charges against JAG Capital […]

by Richard FrankowskiBlogJuly 5 2024 Supervisory failure leads to $500K fine by FINRA: An insight into Oppenheimer & Co. Case

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In a wake up call for broker-dealers, the Financial Industry Regulatory Authority (FINRA) has slapped a […]

by dmtasBlog, FINRA, investment fraud lawyer, Legal MattersJuly 3 2024