Press Releases & News Archives - Page 16 of 44 - FrankowskiFirm Blog Posts

Morgan Stanley To Pay $8.8M For Unsupervised Trading

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The SEC ordered Morgan Stanley Investment Management and brokerage firm Societe Generale Americas to pay $8.8 million […]

by Richard FrankowskiBroker Check, FINRA, Press Releases & NewsDecember 28 2015 Lawsuit Alleges Fiduciary Breach Under ERISA

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A class-action lawsuit was filed last week alleging breach of fiduciary duty resulting from excessive record-keeping […]

by Richard FrankowskiPress Releases & NewsDecember 28 2015 FINRA December 2015 Disciplinary Actions: Part III

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Denny P. Darmodihardjo (Roswell, GA) submitted an AWC in which he was assessed a deferred fine […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsDecember 28 2015 FINRA December 2015 Disciplinary Actions: Part II

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Wunderlich Securities, Inc. (Memphis, TN) submitted an AWC in which the firm was censured and fined […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 28 2015 FINRA December 2015 Disciplinary Actions: Part I

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Brookstone Securities, Inc. (Lakeland, FL) was censured, fined $1,000,000 and required to pay, jointly and severally […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 23 2015 Canarsie Capital Founder Pleads Guilty To Fraud, Lost $57M In Two Weeks

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Owen Li, founder of Canarsie Capital, managed to lose $57 million in only two weeks, leaving […]

by Richard FrankowskiFraud, Press Releases & News, SECDecember 18 2015 CEO Hated For Price Hiking HIV Drug Charged With Securities Fraud

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Martin Shkreli, the hedge fund manager and drug company CEO who rose to infamy after gouging […]

by Richard FrankowskiFraud, Press Releases & NewsDecember 17 2015 New Jersey Woman Pleads Guilty To $1.2M Securities Fraud

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An ex-New Jersey Investment Adviser pleaded guilty to 31 of 37 charges in two indictments brought […]

by Richard FrankowskiFraud, Press Releases & NewsDecember 16 2015 Broker-Dealer Settles Variable Annuity Case for $475k

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Comprehensive Asset Management and Servicing Inc. (“CAMS”) has agreed to pay $475,000 to settle claims that […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 15 2015 Texas REIT Plummets Following Ponzi Allegations

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Stock in United Development Funding IV has gone into a free fall following a report published […]

by Richard FrankowskiFraud, Press Releases & News, SECDecember 14 2015