Failure To Supervise Archives - Page 3 of 6 - FrankowskiFirm Blog Posts

FINRA December 2015 Disciplinary Actions: Part I

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Brookstone Securities, Inc. (Lakeland, FL) was censured, fined $1,000,000 and required to pay, jointly and severally […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 23 2015 Broker-Dealer Settles Variable Annuity Case for $475k

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Comprehensive Asset Management and Servicing Inc. (“CAMS”) has agreed to pay $475,000 to settle claims that […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 15 2015 FINRA Charges Cantone Research Inc.’s President With Fraud

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FINRA filed a complaint against Cantone Research Inc. (“CRI”) of Tinton Falls, New Jersey and its […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsDecember 8 2015 History Of Investors Capital Corporation’s Malfeasance

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Investors Capital Corporation, a dually-registered independent Broker/Dealer and Investment Advisory firm, has a long history of […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsNovember 11 2015 FINRA Wants ‘Significant Fine’ From MetLife For Variable Annuity Sales

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MetLife Inc., the biggest life insurer in the country, said that FINRA will seek a “significant […]

by Richard FrankowskiFINRA, Press Releases & NewsNovember 6 2015 FINRA Interested In Disciplining, Not Punishing

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FINRA emphasized that the regulatory authority’s first goal is the “blocking and tackling” of enforcing its […]

by Richard FrankowskiFINRA, Press Releases & NewsNovember 5 2015 FINRA Fines Twelve Firms A Combined $6.7M

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FINRA ordered twelve firms to pay restitution over $4 million and fines over $2.6 million for failing […]

by Richard FrankowskiFINRA, Press Releases & NewsOctober 20 2015 FINRA Fines Six IBDs For Failing To Discount Large REIT Sales

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Voya Financial Advisors Inc., Transamerica Financial Advisors Inc. and four other independent broker-dealers failed to give […]

by Richard FrankowskiFINRA, Press Releases & NewsOctober 15 2015 FINRA Fines Santander Securities LLC $6.4 Million For Supervisory Failures

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FINRA mandated that Santander Securities LLC pay about $4.3 million in restitution to a number of […]

by Richard FrankowskiFINRA, Press Releases & NewsOctober 13 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