FINRA Archives - Page 3 of 14 - FrankowskiFirm Blog Posts

FINRA Arbitrators Explaining Expungement Decisions More Thoroughly

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FINRA arbitrators are starting to explain expungement decisions more thoroughly, getting rid of some of the […]

by Richard FrankowskiBroker Check, FINRAApril 11 2017 What Does the Financial Industry Regulatory Authority Do, Exactly?

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When an investor is the victim of securities fraud or negligence, he or she can bring […]

by Richard FrankowskiFINRAApril 5 2017 Aegis Capital Investigated By FINRA, SEC, And FINCEN

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Aegis Capital Corp., which is a mid-sized brokerage firm out of New York City and has […]

by Richard FrankowskiFINRA, SECMarch 16 2017 Red River Securities Barred From Industry By FINRA For Oil And Gas Fraud

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FINRA has barred Red River Securities, a broker-dealer formerly out of Plano, Tax, and its Chief […]

by Richard FrankowskiFINRA, FraudMarch 10 2017 Craig David Dima Barred By FINRA

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Craig David Dima, an ex-registered representative with K.C. Ward Financial in Ronkonkoma, New York, was barred […]

by Richard FrankowskiFINRA, Legal Matters, Press Releases & NewsMarch 2 2017 How FINRA Plans on Protecting Investors This Year

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One of the most common claims our attorneys bring on behalf of clients is failure to […]

by Richard FrankowskiFINRAFebruary 8 2017 Can FINRA’s CEO Create a New Era of Transparency?

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Robert Cook, CEO of FINRA, embarked on a “listening tour” late last year. He spent months […]

by Richard FrankowskiFINRA, FraudFebruary 1 2017 Buffer Annuities: Why Regulators Are Seeing Complaints

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Regulators are beginning to shift their attention toward buffer annuities, a new kind of variable annuity. […]

by Richard FrankowskiFINRA, Legal Matters, Press Releases & NewsJanuary 25 2017 FINRA January 2017 Disciplinary Actions

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by Richard FrankowskiBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECJanuary 24 2017 Henry Al Dean Watson Barred By FINRA

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by Richard FrankowskiBroker Check, FINRA, Press Releases & NewsJanuary 19 2017