FINRA Archives - Page 13 of 15 - FrankowskiFirm Blog Posts

FINRA December 2015 Disciplinary Actions: Part II

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Wunderlich Securities, Inc. (Memphis, TN) submitted an AWC in which the firm was censured and fined […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 28 2015 FINRA December 2015 Disciplinary Actions: Part I

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Brookstone Securities, Inc. (Lakeland, FL) was censured, fined $1,000,000 and required to pay, jointly and severally […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 23 2015 Broker-Dealer Settles Variable Annuity Case for $475k

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Comprehensive Asset Management and Servicing Inc. (“CAMS”) has agreed to pay $475,000 to settle claims that […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 15 2015 Woman Receives Over $1M Award In Churning Case Against Former Morgan Stanley Broker

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A FINRA arbitration panel awarded over $1 million to an elderly woman who claim to be […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 11 2015 FINRA Charges Cantone Research Inc.’s President With Fraud

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FINRA filed a complaint against Cantone Research Inc. (“CRI”) of Tinton Falls, New Jersey and its […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsDecember 8 2015 Pennsylvania Man Charged With Defrauding Investors Out Of $1.2M

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Bernard M. Parker of Indiana, Pennsylvania is charged with defrauding twenty-two investors out of $1.2 million […]

by Richard FrankowskiFINRA, Fraud, Press Releases & News, SECDecember 4 2015 History Of Investors Capital Corporation’s Malfeasance

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Investors Capital Corporation, a dually-registered independent Broker/Dealer and Investment Advisory firm, has a long history of […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsNovember 11 2015 FINRA Issues Investor Alert On IRS Impersonation Scam

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FINRA issued a new investor alert, called Tools of the Fraud Trade: Phones and Emotions, warning investors […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsNovember 9 2015 FINRA Wants ‘Significant Fine’ From MetLife For Variable Annuity Sales

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MetLife Inc., the biggest life insurer in the country, said that FINRA will seek a “significant […]

by Richard FrankowskiFINRA, Press Releases & NewsNovember 6 2015 FINRA Interested In Disciplining, Not Punishing

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FINRA emphasized that the regulatory authority’s first goal is the “blocking and tackling” of enforcing its […]

by Richard FrankowskiFINRA, Press Releases & NewsNovember 5 2015