Legal Matters Archives - Page 7 of 26 - FrankowskiFirm Blog Posts

JOHN WOODS ALLEGEDLY STEALS $110 MILLION FROM ELDERLY INVESTORS

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The SEC has filed an emergency action to stop an alleged decade-long Ponzi scheme perpetrated by […]

by The Frankowski FirmLegal MattersSeptember 1 2021 YELLOWSTONE CAPITAL PAYS $9.8 MILLION IN FTC SETTLEMENT

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by The Frankowski FirmLegal MattersSeptember 1 2021 SEC CLAIMS MARTIN RUIZ STOLE $9.2 MILLION FROM ELDERLY CLIENTS

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The SEC has obtained a court order to stop Santa Fe, New Mexico financial advisor Martin […]

by The Frankowski FirmLegal MattersAugust 18 2021 DWIGHT DYKSTRA SUSPENDED ONE YEAR FOR SELLING AWAY FROM HIS FIRM

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Dwight Dykstra (“Dykstra”), a Maitland, Florida stockbroker, has been suspended from acting as a broker for […]

by The Frankowski FirmLegal MattersAugust 13 2021 Xhiangu Zhang, Former Merrill Lynch, Cetera, and Wells Fargo Broker, Barred by FINRA

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Xiangyu “Sean” Zhang has been indefinitely barred from association with any Financial Industry Regulatory Authority (“FINRA”) […]

by The Frankowski FirmLegal MattersJuly 9 2021 MICHAEL ECKER NAMED IN CUSTOMER COMPLAINTS ALLEGING UNSUITABLE INVESTMENTS

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Michael Ecker, a stockbroker in Concorde Investment Services’ Wellington, FL branch office, has been named in […]

by The Frankowski FirmLegal MattersJuly 2 2021 MATTHEW CLASON, FORMER LPL FINANCIAL ADVISOR, ADMITS TO STEALING MORE THAN $600,000 FROM ELDERLY CLIENT

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Former LPL Financial representative Matthew Clason waived his right to be indicted and pleaded guilty to […]

by The Frankowski FirmLegal MattersJune 3 2021 AGITATED PITNEY BOWES CUSTOMERS COMPLAIN ABOUT OVERCHARGES, POOR CUSTOMER SERVICE

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Pitney Bowes company has drawn multiple consumer complaints from customers who have cancelled their Pitney Bowes […]

by The Frankowski FirmLegal MattersJune 2 2021 JONATHAN P. MARONEY, HARBOR CITY CAPITAL CORP., CHARGED BY SEC WITH OPERATING $17.1 MILLION PONZI SCHEME

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The Securities and Exchange Commission (“SEC”) announced on April 26, 2021, that it filed an emergency […]

by The Frankowski FirmLegal MattersMay 12 2021 INTERACTIVE BROKERS AND CHARLES SCWHAB HIT WITH $4.6 MILLION ARBITRATION AWARD

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An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) has entered a $4.6 million award […]

by The Frankowski FirmLegal MattersApril 9 2021