Churning Archives - Page 2 of 2 - FrankowskiFirm Blog Posts

Laidlaw Broker Facing Eight Complaints

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The Frankowski Firm is investigating Laidlaw broker Ahmad Wares of New York. Wares is the target […]

by The Frankowski FirmBroker Check, FINRA, Fraud, Press Releases & NewsMarch 15 2016 Craig Scott Capital Subject Of FINRA Complaint

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FINRA recently filed an amended complaint against Craig Scott Capital, LLC and its co-founders, Craig Scott […]

by Richard FrankowskiFINRA, Press Releases & NewsFebruary 12 2016 Woman Receives Over $1M Award In Churning Case Against Former Morgan Stanley Broker

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A FINRA arbitration panel awarded over $1 million to an elderly woman who claim to be […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 11 2015 FINRA Expels Halcyon Cabot Partners And Bars CEO And CCO

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FINRA expelled New York-based Halcyon Cabot Partners, Ltd., and barred Chief Executive Officer Michael Morris and Chief […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsOctober 8 2015 FINRA Sanctions Ten Former Global Arena Representatives

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During a 2014 onsite exam, FINRA found numerous securities violations at Global Arena Capital Corp., including […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsSeptember 23 2015 FINRA Investigating National Securities Broker

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Financial Industry Regulatory Authority Investigating National Securities Broker FINRA has filed a complaint against broker Vito […]

by Richard FrankowskiBroker Check, FINRA, Press Releases & NewsMay 12 2015 FINRA’s March 2015 Disciplinary Actions Part I

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Bulltick, LLC of Miami, Florida submitted an AWC in which the firm was censured and fined […]

by Richard FrankowskiPress Releases & NewsMarch 19 2015 Georgia Financial Adviser Accused Of Defrauding Elderly Couple

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The Frankowski Firm is continuing its investigation of Leavitt Sanders and the firms with which he […]

by Richard FrankowskiPress Releases & NewsMarch 6 2015