Churning Archives - FrankowskiFirm Blog Posts

Frankowski Firm Investigating Westpark Capital for Potential Broker Fraud and Negligence

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The law offices of The Frankowski Firm, LLC are investigating customer complaints concerning Westpark Capital, Inc. […]

by Richard FrankowskiFINRAJuly 20 2017 FINRA January 2017 Disciplinary Actions

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by Richard FrankowskiBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECJanuary 24 2017 Henry Al Dean Watson Barred By FINRA

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by Richard FrankowskiBroker Check, FINRA, Press Releases & NewsJanuary 19 2017 Gregory Dean And Donald Fowler Charged By SEC

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by Richard FrankowskiBroker Check, Fraud, Press Releases & News, SECJanuary 11 2017 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 Caldwell International Securities To Pay $2M

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Caldwell International Securities Corp. will pay roughly $2 million to settle charges that it hurt its […]

by The Frankowski FirmFINRA, Press Releases & NewsSeptember 1 2016 Broker Faces Numerous Complaints Of Misrepresentations

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According to FINRA’s BrokerCheck, New York-based Worden Capital Management broker Allan Montalbano is facing numerous customer […]

by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsApril 27 2016 Investors File Churning Complaints Against John Prinzivalli

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According to FINRA’s BrokerCheck, broker John Prinzivalli has been the subject of two churning complaints since […]

by The Frankowski FirmBroker Check, FINRA, Fraud, Press Releases & NewsApril 12 2016 Investors File Complaints Against James Hayne

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The Frankowski Firm is investigating complaints regarding Texas-based Cetera Advisors broker James Hayne (CRD# 3257845). He has spent […]

by The Frankowski FirmBroker Check, FINRA, Fraud, Press Releases & NewsApril 8 2016 Broker Took $1.7M By Churning Accounts

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Broker Edward Beyn allegedly received over $1.7 million in commissions and fees by excessively trading his […]

by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsMarch 17 2016