Legal Matters Archives - Page 9 of 26 - FrankowskiFirm Blog Posts

ERIK PICA BARRED BY FINRA FOR TAKING AN ELDERLY CLIENT’S MONEY AND BUYING A HOUSE

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The Financial Industry Regulatory Authority (“FINRA”) has barred Joseph Stone Capital, LLC representative Erik Pica following […]

by The Frankowski FirmLegal MattersNovember 4 2020 TWO SIGMA SECURITIES, LLC FINED $225,000 FOR VIOLATING LOCATE REQUIREMENT

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Recent Financial Industry Regulatory Authority (“FINRA”) findings reveal that Two Sigma Securities, LLC failed to comply […]

by The Frankowski FirmLegal MattersNovember 2 2020 BNP PARIBAS SECURITIES CORPORATION FINED $650,000 FOR FAILED CREDIT AND ORDER CONTROLS

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BNP Paribas Securities Corporation was recently fined for failing to create or maintain a risk management […]

by The Frankowski FirmLegal MattersOctober 30 2020 MOORS & CABOT, INC. FINED $250,000 FOR ERRONEOUS ORDER REPORTS AND PROCEDURES

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Moors & Cabot, Inc. has been fined by the Financial Industry Regulatory Authority (“FINRA”) for failing […]

by The Frankowski FirmLegal MattersOctober 29 2020 LOST MONEY INVESTING THROUGH ROBINHOOD? LEARN YOUR OPTIONS FOR RECOVERY WITH THE FRANKOWSKI FIRM

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According to the Consumer Financial Protection Bureau’s (CFPB) Consumer Complaint Database, the popular investing and trading […]

by The Frankowski FirmLegal MattersOctober 26 2020 KIMBERLEE LEVY & CONCORDE INVESTMENT SERVICES, LLC FINED $300,000 FOR ALLOWING SUSPENDED BROKER TO INTERFERE WITH TRANSACTIONS

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Concorde Investment Services, LLC  and its Chief Compliance Officer, Kimberlee Elizabeth Levy, were recently censured and […]

by The Frankowski FirmLegal MattersOctober 23 2020 LEK SECURITIES CORPORATION FINED AND SUSPENDED FOR IMPROPER MICROCAP SECURITIES TRADING

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Lek Securities Corporation was recently found by the Financial Industry Regulatory Authority (“FINRA”) to have failed […]

by The Frankowski FirmLegal MattersOctober 22 2020 FRANKOWSKI FIRM INVESTIGATING LOSSES IN NEW YORK CITY REIT, INC.

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The value of New York City REIT, Inc. has tanked since its public listing in August […]

by The Frankowski FirmLegal MattersOctober 21 2020 TROY BAILY, FORMERLY OF SAGEPOINT FINANCIAL INC., SUSPENDED AND FINED BY FINRA FOR TRADING WITHOUT WRITTEN APPROVAL

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On October 19, 2020, the Financial Industry Regulatory Authority fined and suspended former broker of SagePoint […]

by The Frankowski FirmLegal MattersOctober 20 2020 MORGAN STANLEY SANCTIONED $949,000 FOR UNSUITABLE SHORT-TERM TRADING OF CORPORATE BONDS

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Morgan Stanley Smith Barney LLC was recently sanctioned for failing to reasonably supervise a representative for […]

by The Frankowski FirmLegal MattersOctober 16 2020