Press Releases & News Archives - Page 15 of 44 - FrankowskiFirm Blog Posts

SEC Seeks $2.5M From Texas Attorney For Securities Fraud

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Last year, the SEC charged a Texas attorney with defrauding investors with regard to two securities […]

by Richard FrankowskiFraud, Press Releases & News, SECJanuary 13 2016 SEC Issues Report On Review Of “Accredited Investor” Definition

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The SEC issued a report evaluating the definition of “accredited investor” as part of its obligations […]

by Richard FrankowskiPress Releases & News, SECJanuary 12 2016 Biggest FINRA Penalties In 2015

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The biggest penalties FINRA levied last came from a wide variety of violations: Puerto Rico The […]

by Richard FrankowskiFINRA, Press Releases & NewsJanuary 11 2016 Massachusetts Regulator Charges Securities Firm With Unsuitable Sale To Elderly Client

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William Galvin, secretary of the commonwealth of Massachusetts, has charged a securities firm operating at Citizens […]

by Richard FrankowskiPress Releases & NewsJanuary 8 2016 FINRA Restitution To Investors Tripled To $96.2M Last Year

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In 2015, FINRA secured $96.2 million in restitution, nearly triple the $32.3 million it did in […]

by Richard FrankowskiFINRA, Press Releases & News, SECJanuary 7 2016 FINRA Intends To Probe Brokerages’ Compliance Culture

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FINRA intends to investigate whether complying with rules is part of brokerage firms’ culture during its examinations this year. The […]

by Richard FrankowskiFINRA, Press Releases & News, SECJanuary 5 2016 Alabama Man Indicted On Securities Fraud Charges

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Last month, Jesse Morgan Hinson of Troy, Alabama was arrested for alleged violations of the Alabama […]

by Richard FrankowskiFraud, Press Releases & NewsJanuary 4 2016 FINRA’s Six Tips For Investors In 2016

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FINRA wants investors to get off on the right financial foot in 2016 and offers investors […]

by Richard FrankowskiBroker Check, FINRA, Fraud, Press Releases & NewsDecember 31 2015 Two Colorado Advisers Arrested for Securities Fraud

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According to Colorado securities regulators, two men have been arrested in unrelated securities fraud cases. Eddie […]

by Richard FrankowskiFraud, Press Releases & NewsDecember 30 2015 FINRA Fines Barclays Capital $13.75M

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FINRA ordered Barclays Capital, Inc. to pay over $10 million in restitution, including interest, to affected […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 29 2015