Legal Matters Archives - Page 8 of 26 - FrankowskiFirm Blog Posts

Infinity Q Losses

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The Frankowski Firm is investing potential claims for investors suffering from Infinity Q Losses.

Infinity Q Diversified Alpha Fund Institutional Class (NASDAQ:IQDNX) and Infinity Q Diversified Alpha Fund Investor Class (NASDAQ:IQDAX). It specifically relates to whether brokerage firm sales practices and due diligence conducted in connection with the recommendations to purchase or hold Infinity Q funds harmed investors.

by The Frankowski FirmLegal MattersMarch 15 2021 TRIAD ADVISORS FINED $150,000 FOR FAILING TO SUPERVISE SHORT-TERM TRADES OF CLASS A SHARE MUTUAL FUNDS

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According to a letter of acceptance, waiver and consent issued by FINRA, from June 3, 2015 […]

by The Frankowski FirmLegal MattersFebruary 12 2021 FIRST STANDARD FINED AND BANNED FOR UNAUTHORIZED, EXCESSIVE, AND UNSUITABLE TRADING

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First Standard Financial Advisory, LLC, based in Red Bank, New Jersey, has been sanctioned and barred […]

by The Frankowski FirmLegal MattersFebruary 12 2021 GPB CAPITAL FOUNDER AND CEO INDICTED IN PRIVATE EQUITY INVESTMENT FRAUD

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An indictment was unsealed in federal court on February 4, 2021, charging GPB Capital Holdings, LLC […]

by The Frankowski FirmLegal MattersFebruary 10 2021 SEC ANNOUNCES $900,000 AWARD TO WHISTLEBLOWER FOR PROVIDING TIMELY ASSISTANCE REGARDING SECURITIES LAW VIOLATION INVESTIGATION

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On November 19, 2020, the Securities & Exchange Commission announced an award of $900,000 to a […]

by The Frankowski FirmLegal MattersDecember 4 2020 SEC ANNOUNCES $6 MILLION JOINT AWARD TO WHISTLEBLOWERS FOR PROVIDING SUBSTANTIAL ASSISTANCE REGARDING SECURITIES LAW VIOLATIONS

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On December 1, 2020, the Securities & Exchange Commission announced an award of $6 million to […]

by The Frankowski FirmLegal MattersDecember 3 2020 MOLONEY SECURITIES CO. INC. FINED $100,000 FOR HAVING NO PROPER SYSTEM TO PREVENT PRICE MANIPULATIONS

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Moloney Securities Co. Inc. was recently censured and fined $100,000 and required to pay $15,574.13, in […]

by The Frankowski FirmLegal MattersNovember 20 2020 LOUIS COOK BARRED FOR INTENTIONAL MISREPRESENTATIONS TO ELDERLY CUSTOMERS AND PARENTS OF DISABLED CHILDREN

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The Financial Industry Regulatory Authority (“FINRA”) has banned Louis Cook, who was a Staten Island, New […]

by The Frankowski FirmLegal MattersNovember 19 2020 DEE DEE BROOKS BARRED FOR SOLICITING OVER $1.7 MILLION IN UNAPPROVED TRANSACTIONS

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The Financial Industry Regulatory Authority (“FINRA”) has barred Dee Dee Brooks, of Sarasota, Florida, based on […]

by The Frankowski FirmLegal MattersNovember 17 2020 APEX CLEARING CORPORATION FINED $250,000 FOR FAILING TO CONFIRM CUSTOMER RECEIPT OF INTEREST RATE DISCLOSURES

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The Financial Industry Regulatory Authority (“FINRA”) has censured and fined Apex Clearing Corporation for violations of […]

by The Frankowski FirmLegal MattersNovember 9 2020