FINRA Archives - Page 6 of 14 - FrankowskiFirm Blog Posts

FINRA Elects John Brennan As New Chairman

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The FINRA Board of Governors elected John Brennan as its new chairman last week. Brennan, an […]

by The Frankowski FirmFINRA, Press Releases & NewsJuly 18 2016 Broker To Pay $331k For Unsuitable Investments

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by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsJuly 14 2016 Winston Wade Turner Banned from Securities Industry by FINRA for ‘Unethical and Dishonest Actions

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FINRA banned Winston Wade Turner, a former Prudential Financial Inc. and MetLife Inc. broker, from the […]

by The Frankowski FirmFINRA, Press Releases & NewsJuly 13 2016 3 States Order Elder Financial Abuse Reporting

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As of today, laws in Alabama, Indiana, and Vermont require financial advisers to report suspected financial […]

by The Frankowski FirmFINRA, Fraud, Press Releases & News, SECJuly 1 2016 FINRA Bars Broker For Mishandling Client Funds

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Last week, former Merrill Lynch broker Kenneth Daley submitted a Letter of Acceptance, Waiver and Consent […]

by The Frankowski FirmFINRA, Press Releases & NewsJune 28 2016 SEC, FINRA Fine Merrill Lynch

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Following on the heels of Merrill Lynch’s agreement yesterday to pay $415 million to settle claims […]

by The Frankowski FirmFINRA, SECJune 24 2016 FINRA Suspends Former LPL Broker

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FINRA has suspended former LPL Financial broker and supervisor Peter Neuberg for six months and has […]

by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsJune 22 2016 Philadelphia Broker Pleads Guilty To Fraud

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William Bucci, a former stockbroker from Philadelphia, Pennsylvania, pleaded guilty to securities fraud and related charges […]

by The Frankowski FirmBroker Check, FINRA, Fraud, Press Releases & NewsJune 15 2016 FINRA Bars Broker Over Private Securities Transactions

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Former broker Brian Smit entered a Letter of Acceptance, Waiver, and Consent, accepting a bar from […]

by The Frankowski FirmFINRA, Press Releases & NewsJune 14 2016 FINRA Bars Broker For Borrowing Client Funds

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FINRA has barred Christopher Tolmacs of Portage, Michigan, alleging that the broker borrowed client funds.  The providing […]

by The Frankowski FirmFINRA, Press Releases & NewsJune 9 2016