Legal Matters Archives - Page 4 of 26 - FrankowskiFirm Blog Posts

DAVID N. WOOD, OF MOLONEY SECURITIES, INC., HIT WITH $600,000 CUSTOMER COMPLAINT

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David N. Wood, a stockbroker with Moloney Securities, Inc.’s Manchester, Missouri office, is the subject of […]

by The Frankowski FirmLegal MattersAugust 22 2022 SHANE WILHELM ACCUSED BY MULTIPLE CLIENTS OF MISREPRESENTING ACCOUNT ASSETS

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Shane Wilhelm, a stockbroker with Fortune Financial Services, Inc. of Moneta, Virginia, has been accused by […]

by The Frankowski FirmLegal MattersAugust 18 2022 JOHN DENNIS LOWRY NAMED IN FINRA DISCIPLINARY ACTION AND TWELVE CUSTOMER COMPLAINTS

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John Dennis Lowry, the owner of Spartan Capital Securities, LLC of New York, New York, has […]

by The Frankowski FirmLegal MattersAugust 15 2022 MICHAEL CASTILLERO AMONG THOSE NAMED IN $410 MILLION PONZI SCHEME CASE

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Michael Castillero has been named by the Securities and Exchange Commission in a stock fraud civil […]

by The Frankowski FirmLegal MattersAugust 8 2022 BRIAN DONNELLY SUSPENDED BY FINRA FOR SELLING AWAY

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The Financial Industry Regulatory Authority (“FINRA”) has suspended First Allied Securities broker Brian Donnelly for four […]

by The Frankowski FirmLegal MattersAugust 1 2022 JEREMY FORTNER OF WELLS FARGO BARRED BY FINRA

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Jeremy Fortner, former Wells Fargo-associated stockbroker in Beverly Hills, California has been barred by the Financial […]

by The Frankowski FirmLegal MattersJuly 28 2022 RONALD MOLO BARRED BY FINRA, CHARGED BY SEC FOR STEALING MONEY FROM ELDERLY CLIENTS

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Ronald Molo, a former stockbroker with Edward Jones, has been barred by Financial Industry Regulatory Authority […]

by The Frankowski FirmLegal MattersJuly 25 2022 WHAT IS A REAL ESTATE PONZI SCHEME?

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A Ponzi scheme is a kind of investment fraud in which earlier investors get returns using […]

by The Frankowski FirmLegal MattersJune 2 2022 HARVEY LINDER SUED BY ALABAMA SECURITIES COMMISSION IN UNPRECEDENTED LAWSUIT TO OVERTURN CORRUPT EXPUNGEMENT AWARDS

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Alabama Securities Commissioner Joseph Borg has brought a lawsuit against Financial Industry Regulatory Authority (“FINRA”) arbitrator […]

by The Frankowski FirmLegal MattersMay 9 2022 EMERSON EQUITY BROKER HIT WITH $1.37 MILLION L BOND LOSS CLAIM

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According to Investment News, Tony Barouti, a stockbroker registered with Emerson Equity and based in Los […]

by The Frankowski FirmCurrent Investigation, Legal MattersMay 5 2022