Legal Matters Archives - Page 5 of 26 - FrankowskiFirm Blog Posts

WESTPARK CAPITAL L BOND INVESTORS MAY HAVE RECOURSE IN $1.6 BILLON FUND COLLAPSE

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WestPark Capital clients who were sold GWG Holdings L bonds may have the right to pursue […]

by The Frankowski FirmLegal MattersApril 28 2022 GWG HOLDINGS BANKRUPTCY RAISES MISGIVINGS FOR HOLDERS OF $1.6 BILLION IN L BONDS

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As previously covered in this space, GWG Holdings, Inc., a financial services firm based in Dallas, […]

by The Frankowski FirmLegal MattersApril 21 2022 GWG HOLDINGS, INC. FACING POTENTIAL CHAPTER 11 BANKRUPTCY

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Investment News reports that GWG Holdings, Inc. is preparing to file for Chapter 11 bankruptcy. The […]

by The Frankowski FirmLegal MattersApril 14 2022 WHAT IS HEDGE FUND FRAUD?

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The term “hedge fund” refers to a cooperation between private investors. Because hedge funds are often […]

by The Frankowski FirmLegal MattersApril 11 2022 HOLDING STOCKBROKERS AND BROKERAGE FIRMS ACCOUNTABLE FOR NEGLIGENCE – HOW CAN YOU DO IT!

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One of the most widespread misunderstandings among individual investors is that to recover investment losses from […]

by The Frankowski FirmLegal MattersMarch 17 2022 DEUTSCHE BANK SLAPPED WITH $2 MILLION FINE FOR EXECUTION FAILURES

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Deutsche Bank Securities, Inc. has been fined $2 million by the Financial Industry Regulatory Authority (“FINRA”) […]

by The Frankowski FirmLegal MattersMarch 14 2022 DENNIS AYRE BANNED BY FINRA

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The Financial Industry Regulatory Authority (“FINRA”) has barred Dennis Ayre from the securities industry based on […]

by The Frankowski FirmLegal MattersMarch 7 2022 WELLS FARGO FINED $2.3 MILLION FOR IMPROPER CUSTOMER RECORDS STORAGE

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Wells Fargo Advisors Financial Network, LLC and Wells Fargo Clearing Services, LLC (collectively, “Wells Fargo”) have […]

by The Frankowski FirmLegal MattersFebruary 28 2022 INVESTMENT SUITABILITY 101: HOW TO PROTECT YOUR RIGHTS

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An investment suitability analysis is required – by industry rules and by law – before a […]

by The Frankowski FirmLegal MattersFebruary 24 2022 SAFEGUARD METALS AND JEFFREY SANTULAN ACCUSED BY SEC OF ELDER FRAUD IN GOLD AND SILVER COIN SALES

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The SEC has filed a complaint against Safeguard Metals LLC and its owner, Jeffrey Santulan, for […]

by The Frankowski FirmLegal MattersFebruary 21 2022