Press Releases & News Archives - Page 5 of 44 - FrankowskiFirm Blog Posts

More Schools Sued Over Excessive 403(b) Fees

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Two days after Yale, MIT, and NYU were sued for excessive 403(b) fees in their retirement […]

by The Frankowski FirmPress Releases & NewsAugust 12 2016 Brian James Egan Barred by FINRA

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FINRA barred Brian James Egan from the securities industry after allegedly failing to disclose trading accounts […]

by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsAugust 5 2016 Thomas Conrad Jr. Defrauds Investors 40 Years After Ban

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According to the SEC, Thomas Conrad Jr.–an 85 year old man from Alpharetta, Georgia who was […]

by The Frankowski FirmFraud, Press Releases & News, SECJuly 28 2016 Dez Bryant Sues Former Advisor

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NFL star and Dallas Cowboy wide receiver Dez Bryant is suing his former advisor, Royce West. […]

by The Frankowski FirmFraud, Press Releases & NewsJuly 21 2016 FINRA Bars Broker Bernard McGee

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FINRA barred broker Bernard McGee and ordered him to pay about $250,000 in penalties for fraudulent […]

by The Frankowski FirmFINRA, Fraud, Press Releases & NewsJuly 20 2016 FINRA Elects John Brennan As New Chairman

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The FINRA Board of Governors elected John Brennan as its new chairman last week. Brennan, an […]

by The Frankowski FirmFINRA, Press Releases & NewsJuly 18 2016 Welliver Pleads Guilty To Securities Fraud

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David Blaine Welliver, whose career as a financial advisor began in the early 1990s with a […]

by The Frankowski FirmFraud, Press Releases & News, SECJuly 15 2016 SEC Fines Firm $300K For Failing To Disclose Fees

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The SEC fined RiverFront Investment Group of Richmond, Virginia $300,000 for charging clients additional fees beyond […]

by The Frankowski FirmPress Releases & News, SECJuly 14 2016 Broker To Pay $331k For Unsuitable Investments

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by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsJuly 14 2016 Winston Wade Turner Banned from Securities Industry by FINRA for ‘Unethical and Dishonest Actions

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FINRA banned Winston Wade Turner, a former Prudential Financial Inc. and MetLife Inc. broker, from the […]

by The Frankowski FirmFINRA, Press Releases & NewsJuly 13 2016