Press Releases & News Archives - Page 2 of 45 - FrankowskiFirm Blog Posts

FINRA January 2017 Disciplinary Actions

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by Richard FrankowskiBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECJanuary 24 2017 Charles Schwab Sued Over Own 401(k) Plan

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A participant in the Charles Schwab Corp. 401(k) plan has sued the plan and corporate executives, […]

by Richard FrankowskiLegal Matters, Press Releases & NewsJanuary 23 2017 Henry Al Dean Watson Barred By FINRA

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by Richard FrankowskiBroker Check, FINRA, Press Releases & NewsJanuary 19 2017 Richard Gearhart & George McKown Charged With Securities Fraud

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Richard Gearhart of Lowell, Indiana and George McKown of Indianapolis, Indiana have been indicted on fraud […]

by Richard FrankowskiFraud, Press Releases & News, SECJanuary 16 2017 Morgan Stanley Fined $13M By SEC

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The SEC announced today that Morgan Stanley agreed to pay a $13 million fine to resolve […]

by Richard FrankowskiLegal Matters, Press Releases & News, SECJanuary 13 2017 Gregory Dean And Donald Fowler Charged By SEC

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by Richard FrankowskiBroker Check, Fraud, Press Releases & News, SECJanuary 11 2017 John Rafal Barred From Securities Industry

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The SEC barred Connecticut investment adviser John Rafal for hiding a referral fee from a client […]

by Richard FrankowskiPress Releases & News, SECJanuary 10 2017 Valic Financial Advisors Fined $1.75M

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Referring to several conflicts of interest regarding how the firm paid brokers selling annuities, FINRA announced […]

by Richard FrankowskiFINRA, Press Releases & NewsJanuary 2 2017 VFG Securities Settles Claims With FINRA

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VFG Securities Inc., a small broker-dealer, and its owner, Jason Vanclef, reached a settlement agreement with […]

by Richard FrankowskiFINRA, Press Releases & NewsJanuary 2 2017 Ash Narayan Banned For Defrauding Pro Athletes

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Former financial adviser Ash Narayan agreed to be barred from associating with brokerage or advisory firms […]

by Richard FrankowskiFraud, Press Releases & News, SECDecember 30 2016