Legal Matters Archives - Page 6 of 26 - FrankowskiFirm Blog Posts

GERMAN NINO, UBS FINANCIAL ADVISER, ACCUSED OF ABUSING CLIENTS’ TRUST AND STEALING $5.8 MILLION

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German Nino has been charged with stealing $5.8 million from long-standing clients. Nino, 56, is a […]

by The Frankowski FirmLegal MattersFebruary 14 2022 HONEST WHISTLEBLOWERS RECEIVE $40 MILLION IN AWARDS FROM SEC

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In January 2022, the Securities and Exchange Commission (SEC) announced it awarded four whistleblowers $40 million […]

by The Frankowski FirmLegal MattersFebruary 10 2022 BRIAN PEARCE SUSPENDED, FINED $5,000 ON FINDINGS HE VIOLATED FINRA RULES

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Brian Pearce (#1334784) was suspended from acting as a FINRA broker and fined $5,000 after thirty-six […]

by The Frankowski FirmLegal MattersFebruary 7 2022 CREDIT SUISSE SECURITIES FINED $9 MILLION FOR INVESTMENT OPERATIONAL FAILURES

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Credit Suisse Securities has been fined $9 million by the Financial Industry Regulatory Authority (“FINRA”) for […]

by The Frankowski FirmLegal MattersJanuary 24 2022 DONNA JEAN HINES BARRED BY FINRA FOLLOWING BITCOIN SALE INVESTIGATION

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Donna Jean Hines (CRD #4275524) was barred by FINRA from serving as a financial advisor in […]

by The Frankowski FirmLegal MattersJanuary 17 2022 JEFFREY DAMPF BARRED BY FINRA AFTER INVESTIGATION INTO $1.5 MILLION ELDER THEFT SCANDAL

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Jeffrey Dampf (CRD #5676205) was barred from association with FINRA in all capacities on October 1, […]

by The Frankowski FirmLegal MattersJanuary 13 2022 WESTPARK CAPITAL AND RICHARD RAPPAPORT SANCTIONED, FINED $280,000, SUSPENDED, ON FINDINGS THEY MISLED INVESTORS, VIOLATED RULES

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WestPark Capital, of Los Angeles California, and its CEO, Richard Rappaport, have been sanctioned and fined […]

by The Frankowski FirmLegal MattersJanuary 10 2022 MERRILL LYNCH FINED $1.5 MILLION FOR SUPERVISORY FAILURES

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Merrill Lynch has been fined $1.5 million by the Financial Industry Regulatory Authority (“FINRA”) for its […]

by The Frankowski FirmLegal MattersJanuary 6 2022 NYLIFE Securities Censured and Fined $200,000 for Supervisory Blunder

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NYLIFE Securities LLC has been censured and fined by the Financial Industry Regulatory Authority (“FINRA”). According […]

by The Frankowski FirmLegal MattersJanuary 3 2022 KENNETH WELSH CHARGED WITH STEALING $3 MILLION

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On October 28, 2021, the Securities and Exchange Commission (SEC) charged Kenneth Welsh with stealing approximately […]

by The Frankowski FirmLegal MattersNovember 17 2021