Legal Matters Archives - Page 14 of 26 - FrankowskiFirm Blog Posts

MORGAN STANLEY ORDERED TO PAY OVER $500,000 IN CUSTOMER ARBITRATION

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An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) has made findings against Morgan Stanley […]

by The Frankowski FirmLegal MattersMay 20 2019 PERSHING, LLC MUST PAY $1.4 MILLION TO SIX CUSTOMERS WHO WERE VICTIMS OF R. ALLEN STANFORD PONZI SCHEME

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An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) has entered a $1.4 million award […]

by The Frankowski FirmLegal MattersMay 9 2019 AXA ADVISORS HIT WITH $3.1 MILLION AWARD IN CASE FILED BY ELDERLY CUSTOMERS

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An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) has made findings against AXA Advisors, […]

by The Frankowski FirmLegal MattersMay 7 2019 MORGAN STANLEY LOSES $454,000 CUSTOMER ARBITRATION CASE

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A panel of arbitrators of the Financial Industry Regulatory Authority (“FINRA”) has entered a unanimous decision […]

by The Frankowski FirmLegal MattersMay 3 2019 CHRISTOPHER DOUGHERTY, C&D WEALTH MANAGEMENT, CHARGED IN PONZI SCHEME

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The Securities and Exchange Commission has charged Christopher Dougherty and his firm C&D Wealth Management, of […]

by The Frankowski FirmLegal MattersApril 30 2019 WOODBRIDGE GROUP EXECUTIVES ARRESTED OVER $1.3 BILLION PONZI SCHEME

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Three executives for the Woodbridge Group of Companies, Robert H. Shapiro, Dayne Roseman, and Ivan Acevedo, […]

by The Frankowski FirmLegal MattersApril 23 2019 UBS BROKER SENTENCED TO PRISON FOR PUERTO BOND FRAUD

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One of UBS’s former top brokers in Puerto Rico, Jose Ramirez, has been sentenced to one […]

by The Frankowski FirmLegal MattersApril 11 2019 HECTOR MAY PONZI SCHEME BRINGS GUILTY PLEA, LAWSUIT

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Hector May Ponzi Scheme Results in Guilty Plea and Lawsuit Former Securities America, Inc. broker Hector […]

by The Frankowski FirmLegal MattersMarch 26 2019 CRAIG ARSENAULT BARRED FROM SECURITIES INDUSTRY BY SEC OVER $5.7 MILLION FRAUD

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The Securities and Exchange Commission has entered an Order permanently barring Atlas Capital Management adviser Craig […]

by Lindsay GoMegaLegal MattersMarch 15 2019 JOHN GREGORY SCHMIDT BARRED BY SEC FOR STEALING FROM ELDERLY CLIENTS

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The Securities and Exchange Commission has entered an Order permanently barring former Wells Fargo Advisors broker […]

by The Frankowski FirmLegal MattersMarch 12 2019