Press Releases & News Archives - Page 12 of 45 - FrankowskiFirm Blog Posts

Former Broker Indicted On Fraud Charges

archive.php

Claus Foerster, an ex-broker from South Carolina, was indicted by a grand jury for bilking customers […]

by The Frankowski FirmFINRA, Fraud, Press Releases & NewsMarch 11 2016 JPMorgan Broker Gets 5 Years For Gambling Funds

archive.php

Michael Oppenheim, a former JPMorgan Chase & Co. broker who claims to have thieved millions of […]

by The Frankowski FirmFraud, Press Releases & NewsMarch 9 2016 Financial Advisor For Ex-Alabama Football Player Pleads Guilty To Fraud

archive.php

Keith Michael Rogers, a financial advisor from Huntsville, Alabama, pleaded guilty to one count of fraud […]

by The Frankowski FirmFraud, Press Releases & NewsMarch 9 2016 Frankowski Firm Investigating Raymond James MLP Recommendations

archive.php

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

archive.php

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

archive.php

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

archive.php

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

archive.php

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

archive.php

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

archive.php

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