Failure To Supervise Archives - Page 2 of 6 - FrankowskiFirm Blog Posts

Most Common Investment Adviser Violations

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Six investment adviser violations make up roughly 60% of all deficiencies the SEC’s staff find when […]

by Richard FrankowskiFraud, Press Releases & News, SECFebruary 29 2016 Questar Advisor Allegedly Sold Fraudulent Securities

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The Frankowski Firm is investigating complaints regarding and the termination of former Questar Capital Corporation advisor Kevin […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsFebruary 17 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 Broker Lies About Charging $11M In Commissions For Nontraded REITs and BDCs

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FINRA charged a broker for lying to a Native American tribe about the $11 million in […]

by Richard FrankowskiFINRA, FraudFebruary 9 2016 Stephens, Inc. Submits AWC Letter To FINRA For Failing To Apply Sales Charge Discounts

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Stephens, Inc. submitted a letter of Acceptance, Waiver, and Consent to FINRA for failing to apply […]

by Richard FrankowskiFINRA, Press Releases & NewsFebruary 8 2016 Frankowski Firm Investigating UBS Broker

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The Frankowski Firm is currently investigating the possible wrongdoing of current UBS Financial Services broker Bradley […]

by Richard FrankowskiBroker Check, FINRA, Press Releases & News, SECFebruary 5 2016 Biggest FINRA Penalties In 2015

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The biggest penalties FINRA levied last came from a wide variety of violations: Puerto Rico The […]

by Richard FrankowskiFINRA, Press Releases & NewsJanuary 11 2016 FINRA Fines Barclays Capital $13.75M

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FINRA ordered Barclays Capital, Inc. to pay over $10 million in restitution, including interest, to affected […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 29 2015 Morgan Stanley To Pay $8.8M For Unsupervised Trading

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The SEC ordered Morgan Stanley Investment Management and brokerage firm Societe Generale Americas to pay $8.8 million […]

by Richard FrankowskiBroker Check, FINRA, Press Releases & NewsDecember 28 2015 FINRA December 2015 Disciplinary Actions: Part II

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Wunderlich Securities, Inc. (Memphis, TN) submitted an AWC in which the firm was censured and fined […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 28 2015