SEC Archives - Page 6 of 9 - FrankowskiFirm Blog Posts

Texas REIT Offices Raided By FBI

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The FBI raided the office of a Texas REIT, United Development Funding IV, this week. The […]

by Richard FrankowskiFraud, Press Releases & News, SECFebruary 19 2016 Frankowski Firm Investigating UBS Broker

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The Frankowski Firm is currently investigating the possible wrongdoing of current UBS Financial Services broker Bradley […]

by Richard FrankowskiBroker Check, FINRA, Press Releases & News, SECFebruary 5 2016 SEC Reaching End Of Case Against Adviser Who Refuses To Defend Herself

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The SEC will reach the end of its case today against a financial adviser who refuses […]

by Richard FrankowskiFraud, Press Releases & News, SECFebruary 1 2016 Banker Who Faked His Own Death Barred From Securities Industry

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The SEC has barred from the securities industry Aubrey Lee Price, an imprisoned former Georgia investment […]

by Lindsay GoMegaFraud, Press Releases & News, SECJanuary 15 2016 SEC Charges Edward Durante With Securities Fraud

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The SEC charged Edward Durante, a recidivist securities law violator, with operating a multi-year offering fraud that […]

by Richard FrankowskiFraud, Press Releases & News, SECJanuary 14 2016 SEC Seeks $2.5M From Texas Attorney For Securities Fraud

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Last year, the SEC charged a Texas attorney with defrauding investors with regard to two securities […]

by Richard FrankowskiFraud, Press Releases & News, SECJanuary 13 2016 SEC Issues Report On Review Of “Accredited Investor” Definition

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The SEC issued a report evaluating the definition of “accredited investor” as part of its obligations […]

by Richard FrankowskiPress Releases & News, SECJanuary 12 2016 FINRA Restitution To Investors Tripled To $96.2M Last Year

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In 2015, FINRA secured $96.2 million in restitution, nearly triple the $32.3 million it did in […]

by Richard FrankowskiFINRA, Press Releases & News, SECJanuary 7 2016 FINRA Intends To Probe Brokerages’ Compliance Culture

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FINRA intends to investigate whether complying with rules is part of brokerage firms’ culture during its examinations this year. The […]

by Richard FrankowskiFINRA, Press Releases & News, SECJanuary 5 2016 Canarsie Capital Founder Pleads Guilty To Fraud, Lost $57M In Two Weeks

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Owen Li, founder of Canarsie Capital, managed to lose $57 million in only two weeks, leaving […]

by Richard FrankowskiFraud, Press Releases & News, SECDecember 18 2015