Failure To Supervise 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 Berthel Fisher On Thin Ice With FINRA For Supervisory Failures

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In 2014, FINRA fined Berthel Fisher & Co. Financial Services Inc. and one of its affiliates […]

by Richard FrankowskiFINRAApril 24 2017 FINRA January 2017 Disciplinary Actions

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by Richard FrankowskiBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECJanuary 24 2017 Wells Fargo Fined $1M For Client Reports

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FINRA fined Wells Fargo $1 million for failing to have instituted reasonable supervisory systems to watch […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 6 2016 Texas Broker-Dealer Fined Over Variable Annuities

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An annuity exchange allows brokers to transfer an investor’s funds in an annuity to a new policy without […]

by The Frankowski FirmNews & EducationOctober 7 2016 FINRA Suspends Former LPL Broker

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FINRA has suspended former LPL Financial broker and supervisor Peter Neuberg for six months and has […]

by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsJune 22 2016 NBA/NFL Players Win $819k FINRA Award

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by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsMay 24 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 FINRA Panel Orders UBS To Pay For Bond Losses

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A FINRA arbitration panel ordered UBS Group AG’s wealth management business for the Americas to pay […]

by The Frankowski FirmFINRA, Fraud, Press Releases & NewsMarch 25 2016 Ex-MetLife, Pruco Broker Accused Of Deceptive Variable Annuity Sales Practices

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FINRA has accused a former MetLife Securities Inc. and Pruco Securities Inc. broker, Winston Wade Turner, […]

by Richard FrankowskiBroker Check, FINRA, Fraud, Press Releases & NewsMarch 2 2016