FINRA Archives - Page 11 of 15 - FrankowskiFirm Blog Posts

Former RBC Capital Markets Representative Submits Letter of AWC

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Robert O’Keef, formerly a registered representative with RBC Capital Markets, LLC, submitted a letter of acceptance, […]

by Richard FrankowskiFINRA, Press Releases & NewsFebruary 26 2016 PIABA: Investors Owed Millions In Arbitration Awards Unable To Collect

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According to the Public Investors Arbitration Bar Association (PIABA), FINRA is failing to help investors collect […]

by Richard FrankowskiFINRA, Press Releases & NewsFebruary 25 2016 FINRA Bars Broker For Market Manipulation

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FINRA barred broker George Johnson from the securities industry for operating a manipulative trading scheme to […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsFebruary 23 2016 Questar Advisor Allegedly Sold Fraudulent Securities

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The Frankowski Firm is investigating complaints regarding and the termination of former Questar Capital Corporation advisor Kevin […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsFebruary 17 2016 Craig Scott Capital Subject Of FINRA Complaint

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FINRA recently filed an amended complaint against Craig Scott Capital, LLC and its co-founders, Craig Scott […]

by Lindsay GoMegaFINRA, Press Releases & NewsFebruary 12 2016 FINRA Bars Two Advisers Following Broker Fraud

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FINRA has barred two Buffalo, New York advisers, Timothy S. Dembskyi and Walter F. Grenda, from […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsFebruary 11 2016 FINRA Issues Investor Alert About High-Yield CD Offers

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FINRA issued a new investor alert warning that advertisements touting higher-than-average Certificate of Deposit yields might […]

by Richard FrankowskiFINRA, Press Releases & NewsFebruary 10 2016 Broker Lies About Charging $11M In Commissions For Nontraded REITs and BDCs

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FINRA charged a broker for lying to a Native American tribe about the $11 million in […]

by Richard FrankowskiFINRA, FraudFebruary 9 2016 Stephens, Inc. Submits AWC Letter To FINRA For Failing To Apply Sales Charge Discounts

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Stephens, Inc. submitted a letter of Acceptance, Waiver, and Consent to FINRA for failing to apply […]

by Richard FrankowskiFINRA, Press Releases & NewsFebruary 8 2016 Frankowski Firm Investigating UBS Broker

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The Frankowski Firm is currently investigating the possible wrongdoing of current UBS Financial Services broker Bradley […]

by Richard FrankowskiBroker Check, FINRA, Press Releases & News, SECFebruary 5 2016