Press Releases & News Archives - FrankowskiFirm Blog Posts

SEC Bars Ex-Edward Jones Broker John Winslow for Fraud

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Edward Jones former broker John Winslow barred by SEC for fraud. Learn the facts, red flags, and steps to protect your investments from adviser misconduct.

by adminBroker Check, Fraud, Press Releases & News, SECApril 16 2026 Broker Justin Deiter Suspended by FINRA: Investor Alert

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Broker Justin Deiter suspended by FINRA for excessive trading and unsuitable recommendations. Learn how to spot warning signs and protect your investments.

by adminBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECApril 16 2026 Broker Roger Gallagher Barred by FINRA: What Happened

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Broker Roger Gallagher barred by FINRA after refusing to cooperate with an investigation. Learn what happened and what it means for affected investors.

by Richard FrankowskiBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECFebruary 26 2026 Craig David Dima Barred By FINRA

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Craig David Dima, an ex-registered representative with K.C. Ward Financial in Ronkonkoma, New York, was barred […]

by Richard FrankowskiFINRA, Legal Matters, Press Releases & NewsMarch 2 2017 Hamilton Ticket Resale Ponzi Scheme Investor Sues

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Adam Blank, an investor in the alleged $81 million Ponzi scheme pertaining to the buying and […]

by Richard FrankowskiFraud, Press Releases & News, SECFebruary 8 2017 SEC: Meyers Associates, L.P. Ignored Pump-And-Dump Scheme

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The SEC announced administrative proceedings against John D. Telfer, who worked for Meyers Associates, L.P. as […]

by Richard FrankowskiFraud, Legal Matters, Press Releases & News, SECFebruary 2 2017 Dwayne Edwards Accused Of Fraud By SEC

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The SEC charged Dwayne Edwards with fraud and obtained an emergency asset freeze against the South […]

by Richard FrankowskiFraud, Legal Matters, Press Releases & News, SECFebruary 1 2017 Citigroup Advisory Unit Fined $18.3M

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Citigroup will pay $18.3 million to settle charges made by the SEC claiming that it overcharged […]

by Richard FrankowskiPress Releases & News, SECJanuary 31 2017 Michael J. Breton Banned For Cherry Picking Trades

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Michael J. Breton, a Massachusetts investment adviser who the SEC accused of securities fraud, has agreed […]

by Richard FrankowskiFraud, Legal Matters, Press Releases & News, SECJanuary 26 2017 Buffer Annuities: Why Regulators Are Seeing Complaints

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Regulators are beginning to shift their attention toward buffer annuities, a new kind of variable annuity. […]

by Richard FrankowskiFINRA, Legal Matters, Press Releases & NewsJanuary 25 2017