Legal Matters Archives - Page 10 of 26 - FrankowskiFirm Blog Posts

SAGEPOINT FINANCIAL FOUND TO HAVE COST CUSTOMERS $1.3 MILLION IN AVOIDABLE SALES CHARGES

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From January 2013 through December 2017, SagePoint Financial Inc. failed to create or maintain a supervisory […]

by The Frankowski FirmLegal MattersOctober 15 2020 NEWPORT COAST SECURITIES, INC. EXPELLED AND FINED FOR CHURNING AND TRADING CUSTOMER ACCOUNTS

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Newport Coast Securities, Inc. was recently expelled from FINRA membership fined $403,000 and ordered to pay […]

by The Frankowski FirmLegal MattersOctober 14 2020 CITADEL SECURITIES SANCTIONED $700,000 FOR REMOVAL OF CUSTOMER ORDERS

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Citadel Securities established an Over-the-Counter equity trading desk in November 2011 to receive orders from the […]

by The Frankowski FirmLegal MattersOctober 9 2020 JASON K. WILLIAMS HIT WITH $45,000 FINRA ARBITRATION AWARD OVER UNSUITABLE AND OVER-CONCENTRATED INVESTMENTS.

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On September 22, 2020, an arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) made findings […]

by The Frankowski FirmLegal MattersOctober 1 2020 JP MORGAN CHASE FINED $920 MILLION FOR “SPOOFING” MARKETS

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It was announced on September 29 that JPMorgan Chase agreed to settle with U.S. authorities and […]

by The Frankowski FirmLegal MattersSeptember 30 2020 SIERRA INCOME MERGER TERMINATION CAUSING INVESTMENT LOSS

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The Frankowski Firm is investigating potential claims related to investor losses in the Sierra Income Corporation. […]

by The Frankowski FirmLegal MattersSeptember 29 2020 SANDLAPPER SECURITIES EXPELLED AND TOP OFFICERS BARRED

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The Financial Industry Regulatory Authority (FINRA) has expelled Sandlapper Securities, LLC, from the securities industry based on FINRA […]

by The Frankowski FirmLegal MattersSeptember 28 2020 INTERACTIVE BROKERS HIT WITH $38 MILLION IN PENALTIES FOR REPEATEDLY FAILING TO FILE SUSPICIOUS ACTIVITY REPORTS

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The Securities and Exchange Commission, the Financial Industry Regulatory Authority (FINRA) and the Commodity Futures Trading […]

by The Frankowski FirmLegal MattersSeptember 10 2020 SAGEPOINT FINANCIAL FINED FOR FAILING TO SUPERVISE EARLY ROLLOVERS OF UNIT INVESTMENT TRUSTS

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The Financial Industry Regulatory Authority (“FINRA”) has fined and sanctioned SagePoint Financial, Inc. for failing to […]

by The Frankowski FirmLegal MattersAugust 18 2020 MERRILL LYNCH UNDER INVESTIGATION IN NEW HAMPSHIRE FOLLOWING CUSTOMER COMPLAINTS

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New Hampshire’s Bureau of Securities Regulation is investigating Merrill Lynch and one of its former top […]

by The Frankowski FirmLegal MattersJuly 14 2020