Conflict of Interest Archives - FrankowskiFirm Blog Posts

KEVIN MCCALLUM HIT WITH $4.8 MILLION CUSTOMER CLAIM INVOLVING MEDLEY CAPITAL STOCK

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Kevin McCallum, an Alabama-based stockbroker and financial advisor with Glacier Point Advisors, LLC, who was previously […]

by The Frankowski FirmFINRAFebruary 2 2021 FINRA January 2017 Disciplinary Actions

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by Richard FrankowskiBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECJanuary 24 2017 FINRA Bars Broker For Market Manipulation

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FINRA barred broker George Johnson from the securities industry for operating a manipulative trading scheme to […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsFebruary 23 2016 FINRA Investigates Conflicts In Broker Pay

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FINRA is examining potential conflicts in interest regarding how firms compensate their brokers. In a targeted […]

by Richard FrankowskiFINRA, Press Releases & NewsAugust 21 2015 RIA Fined $2.8M And Owner Barred From Securities Industry

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The SEC has fined a former registered investment adviser $2.8 million and barred its owner, Jacob Cooper, […]

by Richard FrankowskiFraud, Press Releases & News, SECAugust 18 2015 After FINRA’s 2014 Enforcement Overhaul, Are Bigger Fines Coming?

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FINRA doubled its enforcement haul in 2014 by collecting about $134 million in sanctions, leading attorneys […]

by Richard FrankowskiPress Releases & NewsFebruary 20 2015 Houston Financial Adviser Charged With Fraud

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Earlier this week, the SEC charged a Houston financial adviser with fraud for failing to disclose […]

by Richard FrankowskiPress Releases & NewsSeptember 4 2014