Legal Matters Archives - Page 17 of 26 - FrankowskiFirm Blog Posts

UBS ORDERED TO PAY CUSTOMER OVER $564,000 FOR SALES OF PUERTO RICO MUNICIPAL BONDS AND BOND FUNDS

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An arbitration panel of the Financial Industry Regulatory Authority (“FINRA”), has entered an Award of over […]

by The Frankowski FirmLegal MattersNovember 23 2018 FORMER LPL BROKER CHERYL ANN STALLINGS BARRED BY FINRA FOR MISAPPROPRIATION OF CUSTOMER FUNDS

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The Financial Industry Regulatory Authority (“FINRA”) has entered an Acceptance Waiver and Consent letter against Cheryl […]

by The Frankowski FirmLegal MattersNovember 21 2018 ROBERT LEE BASILE ARRESTED AND BARRED FROM SECURITIES INDUSTRY FOR TAKING $130,000 FROM HIS ELDERLY MOTHER

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The Financial Industry Regulatory Authority (“FINRA”) entered an Acceptance, Waiver, and Consent (“AWC”) letter today against […]

by The Frankowski FirmLegal MattersNovember 16 2018 WELLS FARGO ORDERED TO PAY PUNITIVE DAMAGES AND CUSTOMER ATTORNEYS’ FEES BASED ON FRAUD AND SECURITIES ACT VIOLATIONS

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An arbitration panel of the Financial Industry Regulatory Authority (“FINRA”), has entered an Award of over […]

by The Frankowski FirmLegal MattersNovember 13 2018 MOLONEY SECURITIES HIT WITH $300,000 ARBITRATION JUDGMENT

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A Financial Industry Regulatory Authority (FINRA) arbitration panel has entered a $300,000 award against Moloney Securities, […]

by The Frankowski FirmLegal MattersNovember 9 2018 DOUGLAS SIMANSKI, FORMER NEXT FINANCIAL BROKER, TO PAY $3.9 MILLION FOR FRAUD SCHEME

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Former NEXT Financial advisor Douglas Simanski, of Johnstown, Pennsylvania, will pay $3.9 million to settle SEC […]

by The Frankowski FirmLegal MattersNovember 6 2018 WOODBRIDGE CEO ROBERT SHAPIRO TO PAY SEC FINE OF $120 MILLION IN PONZI SCHEME

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According to court documents, Robert Shapiro, the former CEO of Woodbridge Group of Companies, has agreed […]

by The Frankowski FirmLegal MattersNovember 2 2018 AMI FORTE OUT AT PINNACLE INVESTMENTS AFTER FINRA WIDENS ITS NET

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Ami Forte, once a star Morgan Stanley advisor with over $2 billion in assets under management, […]

by The Frankowski FirmLegal MattersNovember 1 2018 CETERA ADVISORS, LLC ORDERED TO REPAY CLIENT LOSSES IN RISKY REIT INVESTMENTS

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A Financial Industry Regulatory Authority (“FINRA”) arbitrator issued an Award yesterday in a simplified (paperwork-only) arbitration […]

by The Frankowski FirmLegal MattersOctober 18 2018 LJMIX Investors May Bring Individual Claims

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LJM Partners, out of Chicago, Illinois, saw massive losses to its LJM Preservation and Growth Fund […]

by The Frankowski FirmLegal MattersOctober 2 2018