Legal Matters Archives - Page 12 of 26 - FrankowskiFirm Blog Posts

ROBERT F. SPIEGEL SUSPENDED BY FINRA FOR UNSUITABLE TRADING

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

by The Frankowski FirmLegal MattersApril 2 2020 WELLS FARGO FINED $35 MILLION BY SEC FOR UNSUITABLE COMPLEX ETF SALES

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The Securities and Exchange Commission has fined Wells Fargo Advisors $35 million for unsuitable sales of […]

by The Frankowski FirmLegal MattersMarch 5 2020 CHELSEA FINANCIAL SERVICES FINED, CENSURED BY FINRA FOR FAILING TO SUPERVISE UNSUITABLE AND EXCESSIVE TRADING

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The Financial Industry Regulatory Authority (“FINRA”) has fined and censured Chelsea Financial Services, of Staten Island, […]

by The Frankowski FirmLegal MattersFebruary 19 2020 DENNIS NAKAMURA BARRED FOR REFUSING TO TESTIFY

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The Financial Industry Regulatory Authority (“FINRA”) has permanently barred McNally Financial Services Corporation representative Dennis Masaaki […]

by The Frankowski FirmLegal MattersFebruary 17 2020 CAPITAL CITY SECURITIES REP BARRED FOR REFUSING TO TESTIFY

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The Financial Industry Regulatory Authority (“FINRA”) has permanently barred Capital City Securities representative Clint H. Keneer […]

by The Frankowski FirmLegal MattersFebruary 14 2020 NYLIFE SECURITIES FINED FOR FAILING TO SUPERVISE SALES OF HIGH-RISK MUTUAL FUNDS

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The Financial Industry Regulatory Authority (“FINRA”) has fined and sanctioned NYLife Securities, LLC for supervisory failures […]

by The Frankowski FirmLegal MattersFebruary 13 2020 ROBERT NORTON RECOGNIZED BY SUPER LAWYERS AS A RISING STAR SECURITIES LITIGATOR

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For the sixth consecutive year, Frankowski Firm attorney Robert Norton has been recognized by Super Lawyers […]

by The Frankowski FirmLegal MattersJanuary 30 2020 JOHN JOSEPH CAHILL BARRED FOLLOWING INVESTIGATION INTO TAKING MONEY FROM ELDERLY INVESTOR

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The Financial Industry Regulatory Authority (“FINRA”) has barred former Janney Montgomery Scott and Morgan Stanley broker […]

by The Frankowski FirmLegal MattersJanuary 9 2020 OPPENHEIMER FINED FOR FAILING TO SUPERVISE SHORT-TERM TRADING OF UNIT INVESTMENT TRUSTS

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The Financial Industry Regulatory Authority (“FINRA”) has fined and sanctioned Oppenheimer & Co., Inc. for failure […]

by The Frankowski FirmLegal MattersJanuary 6 2020 CRISTINA SABENGSY BARRED BY FINRA OVER FORGED AUTHORIZATIONS

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The Financial Industry Regulatory Authority (“FINRA”) has barred former NYLIFE Securities broker Cristina Sabengsy based on […]

by The Frankowski FirmLegal MattersDecember 30 2019