Legal Matters Archives - Page 13 of 26 - FrankowskiFirm Blog Posts

BENEFIT STREET PARTNERS INVESTORS MAY HAVE A RIGHT TO RECOVERY

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Investors in Benefit Street Partners Realty Trust, Inc., formerly known as Realty Finance Trust, may have […]

by The Frankowski FirmLegal MattersDecember 18 2019 SEC ENTERS PERMANENT BAR AGAINST SECURITIES AMERICA ADVISORS REPRESENTATIVE

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The Securities and Exchange Commission (“SEC”) has imposed a permanent ban against Securities America Advisors, Inc. […]

by The Frankowski FirmLegal MattersDecember 13 2019 STEVE BAPTIST FINED AND SUSPENDED BY FINRA FOR TRADING IN ACCOUNTS OF DECEASED CLIENTS

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The Financial Industry Regulatory Authority (“FINRA”) has suspended broker Steve Baptist for 30 days and imposed […]

by The Frankowski FirmLegal MattersAugust 13 2019 ROBERT H. SHAPIRO PLEADS GUILTY OF ROLE IN PONZI SCHEME

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Robert H. Shapiro, the former CEO of the Woodbridge Group of Companies, pleaded guilty to running […]

by The Frankowski FirmLegal MattersAugust 8 2019 HECTOR MAY, HEAD OF NEW YORK RIA, SENTENCED TO 13 YEARS FOR $11.5 MILLION PONZI SCHEME

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Hector May, the head of suburban New York registered investment advisory firm Executive Compensation Planners, has […]

by The Frankowski FirmLegal MattersAugust 2 2019 FINRA PERMANENTLY BANS FORMER MORGAN STANLEY, WELLS FARGO BROKER FOR FAILURE TO COOPERATE WITH ELDERLY FRAUD INVESTIGATION

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The Financial Industry Regulatory Authority (“FINRA”) has imposed a permanent ban against former Morgan Stanley and […]

by The Frankowski FirmLegal MattersJuly 30 2019 FINRA SUSPENDS, FINES FORMER WELLS FARGO REP FOR TRADING IN DECEASED CLIENT’S ACCOUNT

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The Financial Industry Regulatory Authority (“FINRA”) has imposed a regulatory fine and a one year suspension […]

by The Frankowski FirmLegal MattersJuly 26 2019 FORMER MERRILL LYNCH BROKER CHARLES E. KENAHAN HIT WITH $83 MILLION IN CLAIMS FROM THREE CUSTOMERS

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Former New Hampshire governor Craig Benson has filed a $42.2 million claim against his Merrill Lynch broker, […]

by The Frankowski FirmLegal MattersJuly 23 2019 GPB CAPITAL HOLDINGS UNDER REGULATORY SCRUTINY, FORMER PARTNER ALLEGES PONZI SCHEME

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The Frankowski Firm is investigating claims related to the GPB Capital Holdings family of investment funds. […]

by The Frankowski FirmLegal MattersJuly 21 2019 WEDBUSH HIT WITH $8.1 MILLION FINE BY SEC

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Wedbush Securities Inc. will pay $8.1 million to settle SEC charges that it mishandled “pre-released” American […]

by The Frankowski FirmLegal MattersJune 20 2019