Why Members of Congress File Joint Statement of Disapproval Over Consumer Protection Measure

Mandatory arbitration has been slowly taking the place of class action lawsuits, at the behest of major corporations and financial institutions. This makes sense: arbitration allows companies to address each individual complaint filed as a stand-alone incident, whereas in a class-action lawsuit, even consumers who cannot afford individual representation can seek recompense. Fewer consumers able to make complaints means less money paid out as settlements, which can add up to major savings for big companies. The Consumer Financial Protection Bureau has been investigating this trend for five years, and as a result of their research, has proposed a change to the mandatory arbitration clauses in most banking, finance, cell phone provider, online shopping and media sites, insurance policies, and even nursing home agreements to work cooperatively with others who may have the same issue with the same provider to seek justice. For those businesses that maintain arbitration clauses, the new rule would require the companies to take on the costs [...]

By |September 1st, 2017|FINRA|

Frankowski Firm Investigating Westpark Capital for Potential Broker Fraud and Negligence

The law offices of The Frankowski Firm, LLC are investigating customer complaints concerning Westpark Capital, Inc. for the potential sale of unsuitable investments to their customers and failure to diversify these customers' accounts. The firm has its headquarters in Los Angeles, California, and FINRA records show it has been registered with both the SEC and FINRA since July 1999. Westpark Capital is no stranger to scrutiny. In 2010, FINRA ordered the firm to pay a sum of $400,000.00 for supervisory system failures. The regulator also suspended two officers for failing to supervise representatives in two New York branches who allegedly churned customer accounts and engaged in unsuitable and unauthorized trading in several customers' accounts. The monetary sum included a $100,000.00 fine and $300,000.00 in restitution to the injured customers. In that case, FINRA found that a number of the brokers hired by Westpark Capital at the time came from firms with long histories of disciplinary records, a number of which [...]

Berthel Fisher On Thin Ice With FINRA For Supervisory Failures

In 2014, FINRA fined Berthel Fisher & Co. Financial Services Inc. and one of its affiliates $775,000 for a number of failures to supervise sales of nontraded REITs and leveraged ETFs between 2008 and 2012. Now the company is on thin ice with FINRA again for failing to supervise the sale of an investment product. This time the sale of unit investment trusts is the problem. In March, FINRA sued Berthel Fisher and its ex-broker Jeffrey Dragon for structuring sales from 2013 to 2014 of UITs to customers to allegedly avoid reaching levels at which breakpoint discounts would kick in, hurting clients while increasing the broker's commission. The firm terminated Dragon in September 2016 as it "believed he did not adhere to a term of his heightened supervision agreement, which required him to run all business, including fixed indexed annuities, through the firm's commission grid," Dragon's BrokerCheck states. FINRA's complaint alleges that he generated over $421,000 in commissions for himself and the [...]

By |April 24th, 2017|FINRA|

If I Lose Money, Can I Sue My Stockbroker or Financial Advisor?

When you invest your hard-earned money, you probably do so because you want to protect yourself in the future. Whether you are planning for your retirement, for a major purchase (like a home), for your children’s educational opportunities or are simply investing for fun, the goal is to make money, not lose it. But what happens if you lose everything? Can you sue your financial advisor or your broker to recoup those losses? The short answer is “yes,” but only if those losses are the result of wrongful acts by your advisor, broker or investment firm. If the person you trusted with your money acts unethically, commits an act of securities fraud, or behaves in a negligent manner, you may be entitled to pursue damages through a lawsuit or through FINRA arbitration. Broker negligence, securities fraud and the loss of your investments Losing money in the stock market is not always a case of negligence or securities fraud; fluctuations in [...]