Failure To Disclose 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 Voya To Pay $3.1M Fine For Disclosure Violations

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Voya Financial Advisors will pay nearly $3.1 million because of payments it got from its clearing […]

by Richard FrankowskiNews & EducationMarch 9 2017 John Rafal Barred From Securities Industry

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The SEC barred Connecticut investment adviser John Rafal for hiding a referral fee from a client […]

by Richard FrankowskiPress Releases & News, SECJanuary 10 2017 Phil Fiore Jr. Fired By UBS For Multiple Violations

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UBS Financial Services Inc. fired Phil Fiore Jr., one of its top brokers based in Stamford, […]

by Richard FrankowskiBroker Check, FINRA, Press Releases & NewsDecember 29 2016 Brian James Egan Barred by FINRA

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FINRA barred Brian James Egan from the securities industry after allegedly failing to disclose trading accounts […]

by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsAugust 5 2016 Thomas Conrad Jr. Defrauds Investors 40 Years After Ban

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According to the SEC, Thomas Conrad Jr.–an 85 year old man from Alpharetta, Georgia who was […]

by The Frankowski FirmFraud, Press Releases & News, SECJuly 28 2016 FINRA Bars Broker Bernard McGee

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FINRA barred broker Bernard McGee and ordered him to pay about $250,000 in penalties for fraudulent […]

by The Frankowski FirmFINRA, Fraud, Press Releases & NewsJuly 20 2016 SEC Fines Firm $300K For Failing To Disclose Fees

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The SEC fined RiverFront Investment Group of Richmond, Virginia $300,000 for charging clients additional fees beyond […]

by The Frankowski FirmPress Releases & News, SECJuly 14 2016 AL Man Charged With $1.5M Securities Fraud Involving Church

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Terry Earl Hester of Pike County, Alabama was charged with violating the Alabama Securities Act after […]

by The Frankowski FirmFraud, Press Releases & NewsJuly 11 2016 Adviser To Plead Guilty To $21M Ponzi Scheme

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Patrick E. Churchville, an investment adviser from Rhode Island, is expected to plead guilty to criminal […]

by The Frankowski FirmFraud, Press Releases & News, SECJuly 6 2016