SEC Blog Posts

FINRA January 2017 Disciplinary Actions

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by Richard FrankowskiBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECJanuary 24 2017 Richard Gearhart & George McKown Charged With Securities Fraud

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Richard Gearhart of Lowell, Indiana and George McKown of Indianapolis, Indiana have been indicted on fraud […]

by Richard FrankowskiFraud, Press Releases & News, SECJanuary 16 2017 Morgan Stanley Fined $13M By SEC

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The SEC announced today that Morgan Stanley agreed to pay a $13 million fine to resolve […]

by Richard FrankowskiLegal Matters, Press Releases & News, SECJanuary 13 2017 Gregory Dean And Donald Fowler Charged By SEC

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by Richard FrankowskiBroker Check, Fraud, Press Releases & News, SECJanuary 11 2017 John Rafal Barred From Securities Industry

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The SEC barred Connecticut investment adviser John Rafal for hiding a referral fee from a client […]

by Richard FrankowskiPress Releases & News, SECJanuary 10 2017 Ash Narayan Banned For Defrauding Pro Athletes

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Former financial adviser Ash Narayan agreed to be barred from associating with brokerage or advisory firms […]

by Richard FrankowskiFraud, Press Releases & News, SECDecember 30 2016 FINRA Files Complaint Against Dawn Bennett

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FINRA filed a complaint against Dawn Bennett for failing to testify in its investigation of possible […]

by Richard FrankowskiBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECDecember 2 2016 Levi David Lindemann Receives 6-Year Sentence For Ponzi Scheme

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Levi David Lindemann, a Minnesota investment advisor, received a six-year prison sentence for stealing from clients […]

by Richard FrankowskiBroker Check, Fraud, Press Releases & News, SECNovember 28 2016 Paul Lebel Barred By SEC For Churning

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Paul Lebel, a broker formerly with LPL Financial from 2008 to 2014, was barred by the […]

by The Frankowski FirmPress Releases & News, SECOctober 19 2016 SEC Hits UDF With Wells Notice

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The Frankowski Firm, LLC currently represents multiple investors who have invested in troubled United Development Funding […]

by The Frankowski FirmFraud, Press Releases & News, SECOctober 19 2016