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Press Releases & News Archives - Page 3 of 45 - FrankowskiFirm Blog Posts

Phil Fiore Jr. Fired By UBS For Multiple Violations

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UBS Financial Services Inc. fired Phil Fiore Jr., one of its top brokers based in Stamford, […]

by Broker Check, FINRA, Press Releases & NewsDecember 29 2016 Twelve Firms Fined For Cybersecurity Issues

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FINRA dished out $14.4 million in fines to twelve firms for breaches pertaining to the retention […]

by FINRA, Press Releases & NewsDecember 21 2016 Morgan Stanley Fined For Failing To Deliver Fund Prospectuses Online

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FINRA fined Morgan Stanley Smith Barney $1.5 million for technical failures, including a faulty website link […]

by FINRA, Press Releases & NewsDecember 7 2016 Wells Fargo Fined $1M For Client Reports

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

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

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

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

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

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

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

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

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

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

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

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

by Broker Check, FINRA, Press Releases & NewsOctober 21 2016