FINRA Archives - Page 8 of 15 - FrankowskiFirm Blog Posts

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 Oppenheimer & Co. To Pay $2.9M For ETF Sales

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FINRA fined Oppenheimer & Co. Inc. $2.25 million and ordered the firm to pay over $716,000 […]

by The Frankowski FirmFINRA, Press Releases & NewsJune 8 2016 Variable Annuities The Subject Of High Scrutiny

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Recently, two FINRA enforcement officials emphasized at an insurance industry conference that variable annuities, which offer […]

by The Frankowski FirmFINRAJune 7 2016 Wells Fargo Broker Banned By FINRA

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by The Frankowski FirmBroker Check, FINRA, Fraud, Press Releases & NewsJune 3 2016 Alabama Man Sentenced For Securities Fraud

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by The Frankowski FirmBroker Check, FINRA, Fraud, Press Releases & NewsMay 27 2016 NBA/NFL Players Win $819k FINRA Award

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by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsMay 24 2016 FINRA Bars Broker For Borrowing Client Funds

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FINRA has barred broker Christopher Burtraw of Lakewood, Colorado, alleging that he borrowed client funds. Burtraw […]

by The Frankowski FirmFINRA, Press Releases & NewsMay 23 2016 FINRA Bars Broker Miguel Hernandez

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by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsMay 18 2016 FINRA Fines Raymond James $17M

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FINRA has fined two units of Raymond James Financial Inc. with a record $17 million in […]

by The Frankowski FirmFINRA, Press Releases & NewsMay 18 2016