SEC Archives - Page 4 of 9 - FrankowskiFirm Blog Posts

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 Medical Capital COO Gets 10 Years For Ponzi Scheme

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Joseph J. Lampariello, the former president and Chief Operating Officer of Medical Capital Holdings Inc., was […]

by The Frankowski FirmFraud, Press Releases & News, SECJune 27 2016 SEC, FINRA Fine Merrill Lynch

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Following on the heels of Merrill Lynch’s agreement yesterday to pay $415 million to settle claims […]

by The Frankowski FirmFINRA, SECJune 24 2016 Merrill Lynch Settles SEC Charges, Will Pay $415M

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Merrill Lynch has agreed to pay $415 million and admit wrongdoing to settle charges filed by […]

by The Frankowski FirmPress Releases & News, SECJune 23 2016 NFL And MLB Athletes Victim Of $30M Fraud

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Three professional athletes–Denver Broncos’ quarterback Mark Sanchez, San Francisco Giants’ pitcher Jake Peavy, and former major […]

by The Frankowski FirmFraud, Press Releases & News, SECJune 21 2016 Trader Accused Of $23M Investor Fraud

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Haena Park, a New York foreign exchange trader, has been charged with investor fraud, claiming her […]

by The Frankowski FirmFraud, Press Releases & News, SECJune 17 2016 FDA Official And Hedge Fund Managers Charged In Securities Scheme

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According to federal prosecutors, two hedge fund managers–Sanjay Valvani and Christopher Plaford– conspired with a former […]

by The Frankowski FirmFraud, Press Releases & News, SECJune 16 2016