FINRA Archives - Page 12 of 15 - FrankowskiFirm Blog Posts

Former Wedbush Securities Broker Defrauds Elderly Customer

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  In July 2014, Michael Winegar, formerly a broker with Wedbush  Securities, allegedly convinced an elderly […]

by Richard FrankowskiBroker Check, FINRA, Fraud, Press Releases & NewsFebruary 4 2016 Frankowski Firm Investigating Former Raymond James Broker

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The Frankowski Firm is currently investigating the potential claims of people of who lost money investing […]

by Richard FrankowskiBroker Check, FINRA, Press Releases & NewsFebruary 1 2016 Risks Associated With Investing In Master Limited Partnerships

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Master limited partnerships (“MLPs”) are complex investment vehicles that have become massively popular in the past […]

by Richard FrankowskiFINRA, Press Releases & NewsJanuary 25 2016 Biggest FINRA Penalties In 2015

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The biggest penalties FINRA levied last came from a wide variety of violations: Puerto Rico The […]

by Richard FrankowskiFINRA, Press Releases & NewsJanuary 11 2016 FINRA Restitution To Investors Tripled To $96.2M Last Year

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In 2015, FINRA secured $96.2 million in restitution, nearly triple the $32.3 million it did in […]

by Richard FrankowskiFINRA, Press Releases & News, SECJanuary 7 2016 FINRA Intends To Probe Brokerages’ Compliance Culture

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FINRA intends to investigate whether complying with rules is part of brokerage firms’ culture during its examinations this year. The […]

by Richard FrankowskiFINRA, Press Releases & News, SECJanuary 5 2016 FINRA’s Six Tips For Investors In 2016

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FINRA wants investors to get off on the right financial foot in 2016 and offers investors […]

by Richard FrankowskiBroker Check, FINRA, Fraud, Press Releases & NewsDecember 31 2015 FINRA Fines Barclays Capital $13.75M

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FINRA ordered Barclays Capital, Inc. to pay over $10 million in restitution, including interest, to affected […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 29 2015 Morgan Stanley To Pay $8.8M For Unsupervised Trading

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The SEC ordered Morgan Stanley Investment Management and brokerage firm Societe Generale Americas to pay $8.8 million […]

by Richard FrankowskiBroker Check, FINRA, Press Releases & NewsDecember 28 2015 FINRA December 2015 Disciplinary Actions: Part III

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Denny P. Darmodihardjo (Roswell, GA) submitted an AWC in which he was assessed a deferred fine […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsDecember 28 2015