Press Releases & News Blog Posts

Gregory Bauer Barred By FINRA

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FINRA barred former Waddell & Reed Inc. broker Gregory Bauer from the securities industry for making […]

by The Frankowski FirmFINRA, Press Releases & News, SECOctober 17 2016 Jeffrey Howell Barred From Securities Industry

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by The Frankowski FirmBroker Check, FINRA, Fraud, Press Releases & NewsOctober 14 2016 Sam Wyly Settles Federal Fraud Charges for $198.1M

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Sam Wyly, an ex-Texas billionaire who has declared bankruptcy, will pay $198.1 million to settle federal […]

by The Frankowski FirmFraud, Press Releases & News, SECOctober 13 2016 Wells Fargo Facing 401(k) Suit For Cross-Selling

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Wells Fargo & Co. is facing more legal trouble after the bank’s recent cross-selling scandal was […]

by The Frankowski FirmPress Releases & NewsOctober 13 2016 SEC Sets Record In Enforcement Actions Against Advisers

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The SEC filed a record number of enforcement actions against investment advisers and firms during the past […]

by The Frankowski FirmPress Releases & News, SECOctober 12 2016 FINRA Bars Jay Jules Gruenebaum

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by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsOctober 11 2016 Mickey Long Banned From Selling Alt. Investments

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The Texas State Securities Board has banned broker Mickey Long from recommending alternative investments, including nontraded […]

by The Frankowski FirmPress Releases & NewsOctober 10 2016 SEC Charges Duo For $20M Penny Stock Fraud

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The SEC charged an ex-microcap CEO and a boiler room operator with pressuring senior citizens and […]

by The Frankowski FirmFraud, Press Releases & News, SECSeptember 27 2016 FINRA Bars Broker Douglas Wayne Studer

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by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsSeptember 22 2016 Caldwell International Securities To Pay $2M

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Caldwell International Securities Corp. will pay roughly $2 million to settle charges that it hurt its […]

by The Frankowski FirmFINRA, Press Releases & NewsSeptember 1 2016