Press Releases & News Archives - Page 8 of 44 - FrankowskiFirm Blog Posts

FINRA Bars Broker For Borrowing Client Funds

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FINRA has barred Christopher Tolmacs of Portage, Michigan, alleging that the broker borrowed client funds.  The providing […]

by The Frankowski FirmFINRA, Press Releases & NewsJune 9 2016 Oppenheimer & Co. To Pay $2.9M For ETF Sales

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FINRA fined Oppenheimer & Co. Inc. $2.25 million and ordered the firm to pay over $716,000 […]

by The Frankowski FirmFINRA, Press Releases & NewsJune 8 2016 Wells Fargo Broker Banned By FINRA

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by The Frankowski FirmBroker Check, FINRA, Fraud, Press Releases & NewsJune 3 2016 Fidelity Sued For Alleged Fiduciary Breach

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Participants in a Delta Air Lines Inc. 401(k) plan have sued units of Fidelity Investments, alleging […]

by The Frankowski FirmPress Releases & NewsJune 2 2016 Alabama Man Sentenced For Securities Fraud

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by The Frankowski FirmBroker Check, FINRA, Fraud, Press Releases & NewsMay 27 2016 UDF IV Defaults On $35M Loan

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United Development Funding IV (UDF IV), a Texas Real Estate Investment Trust (REIT), has defaulted on […]

by The Frankowski FirmFraud, Press Releases & News, SECMay 25 2016 NBA/NFL Players Win $819k FINRA Award

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by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsMay 24 2016 FINRA Bars Broker For Borrowing Client Funds

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FINRA has barred broker Christopher Burtraw of Lakewood, Colorado, alleging that he borrowed client funds. Burtraw […]

by The Frankowski FirmFINRA, Press Releases & NewsMay 23 2016 FL Broker Charged With $131M Scam

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Pranav Patel, a stockbroker from Tamarac, Florida, has been charged in an alleged $131 million stock […]

by The Frankowski FirmFraud, Press Releases & NewsMay 20 2016 Promoter Pleads Guilty To Pump-And-Dump Scheme

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Greg Mulholland, a penny-stock promoter, pleaded guilty to conspiring to manipulate stocks and laundering over $250 […]

by The Frankowski FirmFraud, Press Releases & NewsMay 19 2016