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Fraud Archives - Page 12 of 17 - FrankowskiFirm Blog Posts

Broker Lies About Charging $11M In Commissions For Nontraded REITs and BDCs

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FINRA charged a broker for lying to a Native American tribe about the $11 million in […]

by FINRA, FraudFebruary 9 2016 Former Wedbush Securities Broker Defrauds Elderly Customer

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  In July 2014, Michael Winegar, formerly a broker with Wedbush  Securities, allegedly convinced an elderly […]

by Broker Check, FINRA, Fraud, Press Releases & NewsFebruary 4 2016 SEC Reaching End Of Case Against Adviser Who Refuses To Defend Herself

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The SEC will reach the end of its case today against a financial adviser who refuses […]

by Fraud, Press Releases & News, SECFebruary 1 2016 Operator Of Two NC Companies Pleads Guilty To Securities Fraud

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Barry Carlton Taylor, operator of two companies in Franklin, North Carolina, pleaded guilty earlier this week […]

by Fraud, Press Releases & NewsJanuary 28 2016 Futures Trader Pays $260,000 In Restitution For Securities Fraud

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Robert Scott Wiens of Lakewood, Colorado, a director a futures trading firm RXM Holdings Ltd., was […]

by Fraud, Press Releases & NewsJanuary 25 2016 Banker Who Faked His Own Death Barred From Securities Industry

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The SEC has barred from the securities industry Aubrey Lee Price, an imprisoned former Georgia investment […]

by Fraud, Press Releases & News, SECJanuary 15 2016 SEC Charges Edward Durante With Securities Fraud

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The SEC charged Edward Durante, a recidivist securities law violator, with operating a multi-year offering fraud that […]

by Fraud, Press Releases & News, SECJanuary 14 2016 SEC Seeks $2.5M From Texas Attorney For Securities Fraud

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Last year, the SEC charged a Texas attorney with defrauding investors with regard to two securities […]

by Fraud, Press Releases & News, SECJanuary 13 2016 Alabama Man Indicted On Securities Fraud Charges

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Last month, Jesse Morgan Hinson of Troy, Alabama was arrested for alleged violations of the Alabama […]

by Fraud, Press Releases & NewsJanuary 4 2016 FINRA’s Six Tips For Investors In 2016

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FINRA wants investors to get off on the right financial foot in 2016 and offers investors […]

by Broker Check, FINRA, Fraud, Press Releases & NewsDecember 31 2015