Legal Matters Archives - Page 15 of 26 - FrankowskiFirm Blog Posts

BB&T TO PAY $5 MILLION TO SETTLE CLAIMS THAT IT MISLED CLIENTS

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BB&T Settles Misleading Client Claims for $5 Million The Securities and Exchange Commission has entered an […]

by The Frankowski FirmLegal MattersMarch 8 2019 WILLIAM GENNITY BARRED BY SEC AFTER CHURNING ALLEGATIONS

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The Securities and Exchange Commission has entered an Order permanently barring Staten Island, New York-based broker […]

by The Frankowski FirmLegal MattersMarch 5 2019 FORMER BROKER SHAWN BALDWIN CONVICTED IN $10 MILLION FRAUD CASE

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A federal jury in Chicago, IL has entered a guilty verdict against Shawn Baldwin, a former […]

by The Frankowski FirmLegal MattersFebruary 26 2019 BRUCE C. WORTHINGTON SUSPENDED AFTER MISAPPROPRIATION ALLEGATIONS

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The Financial Industry Regulatory Authority (“FINRA”) has suspended Middleton, Massachusetts broker Bruce C. Worthington from the […]

by The Frankowski FirmLegal MattersFebruary 22 2019 BROKER FLOYD POWELL BARRED FOR UNAPPROVED PRIVATE SECURITIES TRANSACTIONS

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The Financial Industry Regulatory Authority (“FINRA”) has barred broker Floyd Powell, of Albertville, Alabama, from the […]

by The Frankowski FirmLegal MattersFebruary 19 2019 KESTRA INVESTMENT SERVICES SANCTIONED BY FINRA FOR OVERCHARGING INVESTORS

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The Financial Industry Regulatory Authority (“FINRA”) has made findings against Kestra Financial Services, LLC of Austin, […]

by The Frankowski FirmLegal MattersFebruary 15 2019 FINRA EXAMS TO INCLUDE COMPLIANCE WITH ELDER ABUSE RULES

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FINRA EXAMS TO INCLUDE COMPLIANCE WITH ELDER ABUSE RULES The Financial Industry Regulatory Authority (“FINRA”), the […]

by The Frankowski FirmLegal MattersFebruary 8 2019 CUSTOMER WINS $276,000 AWARD AGAINST QUEST CAPITAL OVER WOODBRIDGE FUNDS

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A Financial Industry Regulatory Authority (“FINRA”) arbitration panel has entered an award of over $276,000 against […]

by The Frankowski FirmLegal MattersFebruary 5 2019 WOODBRIDGE GROUP ORDERED TO PAY $1 BILLION FINE FOR PONZI SCHEME

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The Woodbridge Group of Companies has appeared frequently in this blog space related to the ongoing […]

by The Frankowski FirmLegal MattersFebruary 1 2019 JOSEPH A. MEYER, STATIM HOLDINGS, CHARGED WITH FRAUD BY SEC

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The Securities and Exchange Commission (“SEC”) has charged Atlanta, Georgia based investment advisor Joseph A. Meyer, […]

by The Frankowski FirmLegal MattersJanuary 29 2019