SEC Archives - FrankowskiFirm Blog Posts

SEC Bars Ex-Edward Jones Broker John Winslow for Fraud

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Edward Jones former broker John Winslow barred by SEC for fraud. Learn the facts, red flags, and steps to protect your investments from adviser misconduct.

by adminBroker Check, Fraud, Press Releases & News, SECApril 16 2026 Broker Justin Deiter Suspended by FINRA: Investor Alert

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Broker Justin Deiter suspended by FINRA for excessive trading and unsuitable recommendations. Learn how to spot warning signs and protect your investments.

by adminBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECApril 16 2026 Broker Roger Gallagher Barred by FINRA: What Happened

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Broker Roger Gallagher barred by FINRA after refusing to cooperate with an investigation. Learn what happened and what it means for affected investors.

by Richard FrankowskiBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECFebruary 26 2026 FINRA SANCTIONS FIFTH THIRD SECURITIES, INC. OVER VARIABLE ANNUITY EXCHANGES

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The Financial Industry Regulatory Authority (“FINRA”) has announced a fine of $4 million and required an […]

by Richard FrankowskiSECMay 8 2018 Barclays To Pay $97M To Customers

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Barclays Capital has reached a settlement with the SEC to refund over $97 million in advisory […]

by Richard FrankowskiSECMay 18 2017 Demitrios Hallas Accused By SEC Of Selling Unsuitable Investments

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The SEC accused former broker Demitrios Hallas with trading leveraged Exchange Traded Funds (ETFs) and Exchange […]

by Richard FrankowskiSECApril 26 2017 Robert Tricarico Sentenced To 3.5 Years In Prison For Client Theft

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Robert Tricarico, a former LPL broker, pleaded guilty to stealing $1.2 million from a client by […]

by Richard FrankowskiFINRA, Fraud, SECApril 13 2017 Aegis Capital Investigated By FINRA, SEC, And FINCEN

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Aegis Capital Corp., which is a mid-sized brokerage firm out of New York City and has […]

by Richard FrankowskiFINRA, SECMarch 16 2017 Hamilton Ticket Resale Ponzi Scheme Investor Sues

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Adam Blank, an investor in the alleged $81 million Ponzi scheme pertaining to the buying and […]

by Richard FrankowskiFraud, Press Releases & News, SECFebruary 8 2017 SEC: Meyers Associates, L.P. Ignored Pump-And-Dump Scheme

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The SEC announced administrative proceedings against John D. Telfer, who worked for Meyers Associates, L.P. as […]

by Richard FrankowskiFraud, Legal Matters, Press Releases & News, SECFebruary 2 2017