Legal Matters Archives - Page 11 of 26 - FrankowskiFirm Blog Posts

FREDERICK STOW, FORMER RAYMOND JAMES V.P., CHARGED WITH STEALING OVER $900,000 FROM ELDERLY CLIENTS

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The United States Attorney’s Office for the Middle District of Tennessee has announced charges against former […]

by The Frankowski FirmLegal MattersJuly 10 2020 SEC INVESTIGATING POTENTIAL WRONGDOING AT PROFESSIONAL FINANCIAL INVESTORS, INC., PROFESSIONAL INVESTORS SECURITIES FUND, INC.

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The U.S. Securities and Exchange Commission is investigating two Marin County, California investment companies following the […]

by The Frankowski FirmLegal MattersJuly 7 2020 NORTHWESTERN MUTUAL FINED $350,000 AND CENSURED FOR SUPERVISORY FAILURES

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Northwestern Mutual Investment Services, LLC, headquartered in Milwaukee, Wisconsin, has been fined and censured by FINRA […]

by The Frankowski FirmLegal MattersJune 17 2020 BLOCK.ONE CLASS MEMBERS MAY OPT OUT OF THE CLASS ACTION TO PURSUE INDIVIDUAL CLAIMS

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Last month, investors filed a class action suit against blockchain software firm Block.one, alleging that the […]

by The Frankowski FirmLegal MattersJune 10 2020 JESSE GIL, III BARRED BY FINRA ON ALLEGATIONS OF UNAUTHORIZED USE OF ELDERLY CUSTOMER’S FUNDS

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The Financial Industry Regulatory Authority (“FINRA”) has permanently barred Corpus Christi, Texas stockbroker Jesse Gil, III […]

by The Frankowski FirmLegal MattersMay 25 2020 LOUIS COOK BARRED BY FINRA ON FINDINGS OF FRAUD, THEFT

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The Financial Industry Regulatory Authority (“FINRA”) has permanently barred Staten Island, New York stockbroker Louis Cook […]

by The Frankowski FirmLegal MattersMay 16 2020 ROBERT NORTON RECOGNIZED BY THE AMERICAN TRIAL ACADEMY AS A TOP TIER LAWYER

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Frankowski Firm attorney Robert Norton has been recognized by the American Trial Academy as a Top […]

by The Frankowski FirmLegal MattersMay 9 2020 PHILLIP CONLEY CHARGED BY SEC WITH $5.2 MILLION SECURITIES FRAUD

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The Securities and Exchange Commission has charged West Virginia-based registered representative Phillip Conley with securities fraud. […]

by The Frankowski FirmLegal MattersMay 8 2020 FTC WARNS SMALL BUSINESS OWNERS OF POTENTIAL FOR LOAN FRAUD

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The Federal Trade Commission (“FTC”) has issued an alert cautioning small business owners who apply for […]

by The Frankowski FirmLegal MattersApril 21 2020 MICHAEL LEAHY BARRED BY FINRA FOR SUPERVISORY FAILURES

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The Financial Industry Regulatory Authority (“FINRA”) has barred former First Standard Financial, LLC representative Michael Leahy […]

by The Frankowski FirmLegal MattersApril 6 2020