Legal Matters Archives - Page 3 of 26 - FrankowskiFirm Blog Posts

Investors File Negligence Lawsuits Against Oppenheimer

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David Wayne Krumrey, a former stockbroker registered with Oppenheimer Co. Inc. and based in The Woodlands, […]

by The Frankowski FirmLegal MattersAugust 10 2023 UBS Reaches Settlement with SEC Over Inappropriate VXX Investments

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UBS Financial Services Inc. (“UBS”) recently settled charges with the Securities and Exchange Commission (“SEC”) concerning […]

by The Frankowski FirmLegal MattersAugust 9 2023 Investor Losses Allegedly Linked to Oppenheimer Broker David

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by The Frankowski FirmLegal MattersAugust 8 2023 SEC has taken action against Royal Alliance Associates

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SEC has taken action against Royal Alliance Associates   The Securities and Exchange Commission (SEC) has […]

by The Frankowski FirmLegal MattersAugust 3 2023 FINRA Warned of Risks of VIX-Linked Exchange Traded Products

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FINRA Warned of Risks of VIX-Linked Exchange Traded Products   A recent spike in stock market […]

by The Frankowski FirmLegal MattersAugust 2 2023 Former B. Riley Wealth Management Investment Advisors Accused of Wrongdoing That Cost Investors Almost $4 Million.

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Former B. Riley Wealth Management Investment Advisors Accused of Wrongdoing That Cost Investors Almost $4 Million. […]

by The Frankowski FirmLegal MattersMarch 12 2023 BOB WAMHOFF DRAWS 10 CUSTOMER COMPLAINTS

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The Frankowski Firm is investigating potential claims against former stockbroker Robert Edward “Bob” Wamhoff.  Until 2019, […]

by The Frankowski FirmLegal MattersSeptember 16 2022 OPPENHEIMER LOSES $36.7 MILLION FINRA ARBITRATION CLAIM

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Oppenheimer & Co., Inc. has been hit with a $36.7 million award against it, issued by […]

by The Frankowski FirmLegal MattersSeptember 16 2022 MICHAEL TODD FIRED BY CENTAURUS FINANCIAL FOLLOWING CUSTOMER COMPLAINTS

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Michael Todd, of Crystal River, Florida, has been fired by Centaurus Financial, Inc. after failing to […]

by The Frankowski FirmLegal MattersSeptember 1 2022 SURESH KUMAR BARRED FROM FINRA FOR STEALING FUNDS FROM CLIENTS

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The Financial Industry Regulatory Authority (“FINRA”) has barred former T3 Trading Group stockbroker Suresh Kumar, of […]

by The Frankowski FirmLegal MattersAugust 29 2022