Legal Matters Archives - Page 2 of 26 - FrankowskiFirm Blog Posts

How Investment Fraud Lawyers Can Help You Recover Losses

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If you have landed on this blog, then unfortunately, you or someone you may know may […]

by dmtasLegal MattersJuly 26 2024 Supervisory failure leads to $500K fine by FINRA: An insight into Oppenheimer & Co. Case

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In a wake up call for broker-dealers, the Financial Industry Regulatory Authority (FINRA) has slapped a […]

by dmtasBlog, FINRA, investment fraud lawyer, Legal MattersJuly 3 2024 Investment News: Next DOL Fiduciary Proposal Generates Opposition Prior to Release

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by dmtasBlog, Fraud, Legal MattersSeptember 20 2023 Former U.S. Army Financial Counselor Charged by SEC for Defrauding Gold Star Families

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The Securities and Exchange Commission (SEC) has taken decisive action against Caz L. Craffy, a former […]

by The Frankowski FirmLegal MattersAugust 30 2023 SEC Alleges Additional Frank Executive’s Fraud in $175 Million Sale of Student Loan Assistance Company

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The Securities and Exchange Commission (SEC) has taken legal action against Olivier Amar, former Chief Growth […]

by The Frankowski FirmLegal MattersAugust 28 2023 SEC Charges Merrill Lynch and Parent Company for Failure to Report Suspicious Activity

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The Securities and Exchange Commission (SEC) has brought charges against Merrill Lynch, Pierce, Fenner & Smith […]

by The Frankowski FirmLegal MattersAugust 28 2023 SEC Moves Swiftly to Stop North Carolina-Based Ponzi Scheme

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In an urgent response, the Securities and Exchange Commission (SEC) has taken decisive action to halt […]

by The Frankowski FirmLegal MattersAugust 22 2023 SEC Settles Charges Against RSE Markets Inc. for Running an Unregistered Securities Exchange

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The Securities and Exchange Commission (SEC) recently concluded its investigation and reached a settlement with RSE […]

by The Frankowski FirmLegal MattersAugust 21 2023 SEC Takes Action Against Former Florida Brokerage Representative for Defrauding Senior and Disabled Customers

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The Securities and Exchange Commission (SEC) has filed charges against Joseph Michael “Mike” Todd and his […]

by The Frankowski FirmLegal MattersAugust 19 2023 The Suitability of Volatility-Linked Investment Products for Most Investors

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Retirees and other retail investors should exercise caution when considering investments in volatility-linked products. The Cboe […]

by The Frankowski FirmLegal MattersAugust 11 2023