Press Releases & News Archives - Page 6 of 44 - FrankowskiFirm Blog Posts

Dawn Bennett Barred From Securities Industry

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The SEC barred Dawn Bennett from the securities industry for inflating her firm’s assets under management […]

by The Frankowski FirmPress Releases & News, SECJuly 12 2016 AL Man Charged With $1.5M Securities Fraud Involving Church

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Terry Earl Hester of Pike County, Alabama was charged with violating the Alabama Securities Act after […]

by The Frankowski FirmFraud, Press Releases & NewsJuly 11 2016 Andrew Caspersen Pleads Guilty To $40M Fraud

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Andrew Caspersen, an ex-Wall Street executive and descendant of a wealthy family, pleaded guilty this week […]

by The Frankowski FirmFraud, Press Releases & NewsJuly 7 2016 Adviser To Plead Guilty To $21M Ponzi Scheme

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Patrick E. Churchville, an investment adviser from Rhode Island, is expected to plead guilty to criminal […]

by The Frankowski FirmFraud, Press Releases & News, SECJuly 6 2016 SEC Accuses Breitling Energy Of $80M Fraud

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The SEC charged Breitling Energy Corp., its CEO, and seven others with defrauding investors out of […]

by The Frankowski FirmFraud, Press Releases & News, SECJuly 5 2016 Raymond James Settles Compliance Failure Case For $5.95M

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Raymond James Financial Inc. has agreed to settle a compliance failure case with Vermont’s Department of […]

by The Frankowski FirmFraud, Press Releases & News, SECJuly 1 2016 3 States Order Elder Financial Abuse Reporting

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As of today, laws in Alabama, Indiana, and Vermont require financial advisers to report suspected financial […]

by The Frankowski FirmFINRA, Fraud, Press Releases & News, SECJuly 1 2016 SEC Bans MA Brokerage Firm Owner From Industry

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The SEC has banned Massachusetts resident Lee Weiss from the brokerage and investment advisory industry for […]

by The Frankowski FirmFraud, Press Releases & News, SECJune 30 2016 Transamerica To Pay $3.8M For Excessive Fees

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Transamerica has agreed to settle an excessive-fee lawsuit with its employees who participated in its 401(k) […]

by The Frankowski FirmPress Releases & NewsJune 29 2016 FINRA Bars Broker For Mishandling Client Funds

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Last week, former Merrill Lynch broker Kenneth Daley submitted a Letter of Acceptance, Waiver and Consent […]

by The Frankowski FirmFINRA, Press Releases & NewsJune 28 2016