Press Releases & News Archives - Page 12 of 44 - FrankowskiFirm Blog Posts

Frankowski Firm Investigating Raymond James MLP Recommendations

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The Frankowski Firm, LLC is investigating Raymond James’ potentially inappropriate recommendations of oil and gas and […]

by The Frankowski FirmPress Releases & NewsMarch 7 2016 UMT Headquarters Raided By Law Enforcement

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Law enforcement authorities raided the headquarters of United Mortgage Trust (“UMT”) in a suburb of Dallas, […]

by Richard FrankowskiFraud, Press Releases & NewsMarch 2 2016 Frankowski Firm Investigating UDF REITs

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The Frankowski Firm is continuing its investigation into United Development Funding III and IV (UDF) on […]

by Richard FrankowskiFINRA, Fraud, Legal Matters, Press Releases & NewsMarch 2 2016 Ex-MetLife, Pruco Broker Accused Of Deceptive Variable Annuity Sales Practices

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FINRA has accused a former MetLife Securities Inc. and Pruco Securities Inc. broker, Winston Wade Turner, […]

by Richard FrankowskiBroker Check, FINRA, Fraud, Press Releases & NewsMarch 2 2016 Former Oxford City Football Club Director Pleads Guilty To Fraud

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Thomas A. Guerriero of Hillsboro Beach, Florida pleaded guilty to running a $6.6 million telemarketing and investment […]

by Richard FrankowskiFraud, Press Releases & News, SECMarch 1 2016 Most Common Investment Adviser Violations

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Six investment adviser violations make up roughly 60% of all deficiencies the SEC’s staff find when […]

by Richard FrankowskiFraud, Press Releases & News, SECFebruary 29 2016 Former RBC Capital Markets Representative Submits Letter of AWC

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Robert O’Keef, formerly a registered representative with RBC Capital Markets, LLC, submitted a letter of acceptance, […]

by Richard FrankowskiFINRA, Press Releases & NewsFebruary 26 2016 PIABA: Investors Owed Millions In Arbitration Awards Unable To Collect

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According to the Public Investors Arbitration Bar Association (PIABA), FINRA is failing to help investors collect […]

by Richard FrankowskiFINRA, Press Releases & NewsFebruary 25 2016 FINRA Bars Broker For Market Manipulation

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FINRA barred broker George Johnson from the securities industry for operating a manipulative trading scheme to […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsFebruary 23 2016 Texas REIT Subpoenaed Following FBI Raid

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Management of real estate investment trust United Development Funding IV, a hedge fund accused of operating […]

by Richard FrankowskiFraud, Press Releases & News, SECFebruary 22 2016