broker fraud attorney Archives - FrankowskiFirm Blog Posts

SEC Charges 16 Firms with $81 Million Penalty for Recordkeeping Failures

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On Feb. 9, 2024, in a significant enforcement action, the Securities and Exchange Commission (SEC) announced […]

by Richard FrankowskiBlogJuly 8 2024 Affinity Fraud: A Hidden Threat to Investors Highlighted by the Wilkinson Family Speaker Series

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Affinity fraud, a pernicious form of investment fraud targeting specific groups with shared identities, took center […]

by Richard FrankowskiBlogJuly 8 2024 Enhancing Investor Protection: The SEC’s New Public Service Campaign

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The recent announcement by the Securities and Exchange Commission (SEC) regarding its new public service campaign […]

by Richard FrankowskiBlogJuly 8 2024