Press Releases & News Archives - Page 3 of 44 - FrankowskiFirm Blog Posts

Wells Fargo Fined $1M For Client Reports

archive.php

FINRA fined Wells Fargo $1 million for failing to have instituted reasonable supervisory systems to watch […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 6 2016 Dominic Thomas DeBruin Banned By FINRA

archive.php

[fusion_builder_container type=”flex” hundred_percent=”no” equal_height_columns=”no” menu_anchor=”” hide_on_mobile=”small-visibility,medium-visibility,large-visibility” class=”” id=”” background_color=”” background_image=”” background_position=”center center” background_repeat=”no-repeat” fade=”no” background_parallax=”none” parallax_speed=”0.3″ […]

by Richard FrankowskiBroker Check, FINRA, Press Releases & NewsDecember 2 2016 FINRA Files Complaint Against Dawn Bennett

archive.php

FINRA filed a complaint against Dawn Bennett for failing to testify in its investigation of possible […]

by Richard FrankowskiBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECDecember 2 2016 Levi David Lindemann Receives 6-Year Sentence For Ponzi Scheme

archive.php

Levi David Lindemann, a Minnesota investment advisor, received a six-year prison sentence for stealing from clients […]

by Richard FrankowskiBroker Check, Fraud, Press Releases & News, SECNovember 28 2016 Oppenheimer & Co. Fined By FINRA

archive.php

FINRA fined Oppenheimer & Co. $3.4 Million for failures in reporting internal discipline, giving information in […]

by Richard FrankowskiFINRA, Press Releases & NewsNovember 18 2016 Edward Jones Hit With Second Excessive Fee Suit

archive.php

Edward Jones has been hit with a second excessive fee and self-dealing suit regarding its 401(k) […]

by Richard FrankowskiPress Releases & NewsNovember 16 2016 Mark Tauzin Suspended For Unsuitable Trading

archive.php

FINRA suspended former LPL Financial broker Mark Tauzin for engaging in unsuitable short-term trading of unit investment […]

by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsOctober 21 2016 Paul Lebel Barred By SEC For Churning

archive.php

Paul Lebel, a broker formerly with LPL Financial from 2008 to 2014, was barred by the […]

by The Frankowski FirmPress Releases & News, SECOctober 19 2016 SEC Hits UDF With Wells Notice

archive.php

The Frankowski Firm, LLC currently represents multiple investors who have invested in troubled United Development Funding […]

by The Frankowski FirmFraud, Press Releases & News, SECOctober 19 2016 Debra Ferrara Suspended For Fraudulent Wire Transfer

archive.php

Debra Ferrara, a former client administrator at Morgan Stanley, was fined and suspended by FINRA for […]

by The Frankowski FirmBroker Check, FINRA, Fraud, Press Releases & NewsOctober 18 2016