Failure To Supervise Archives - Page 5 of 6 - FrankowskiFirm Blog Posts

LPL Financial Fined $11.7M For ‘Widespread Supervisory Failures’

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FINRA ordered LPL Financial to pay $11.7 million in fines and restitution for what it called […]

by Richard FrankowskiPress Releases & NewsMay 13 2015 Alabama Man Pleads Guilty In Ponzi Scheme Case

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Alabama Resident Pleads Guilty In Ponzi Scheme Case Over a five year span, former Hoover, Alabama […]

by Richard FrankowskiPress Releases & NewsMarch 30 2015 FINRA’s March 2015 Disciplinary Actions Part II

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Jacob Robert Craton of Palm Beach Gardens, Florida submitted an AWC in which he was assessed […]

by Richard FrankowskiNews & EducationMarch 20 2015 FINRA’s March 2015 Disciplinary Actions Part I

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Bulltick, LLC of Miami, Florida submitted an AWC in which the firm was censured and fined […]

by Richard FrankowskiPress Releases & NewsMarch 19 2015 FINRA Sanctions Brookville Capital Partners And Bars President

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FINRA announced today that it has ordered Brookville Capital Partners, LLC of Uniondale, New York to […]

by Richard FrankowskiPress Releases & NewsMarch 12 2015 Georgia Financial Adviser Accused Of Defrauding Elderly Couple

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The Frankowski Firm is continuing its investigation of Leavitt Sanders and the firms with which he […]

by Richard FrankowskiPress Releases & NewsMarch 6 2015 FINRA Sanctions Alabama Broker Terry Bagwell

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Alabama stockbroker and supervisor Terry Bagwell submitted a Letter of Acceptance, Waiver, and Consent (“AWC”), accepting […]

by Richard FrankowskiPress Releases & NewsMarch 4 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 Recent FINRA Disciplinary Fines And Sanctions

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Arque Capital, Ltd. submitted a letter of acceptance, waiver, and consent in which the firm was […]

by Richard FrankowskiPress Releases & NewsFebruary 13 2015 FINRA Fines Monex Securities $1.3M

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Yesterday, FINRA fined Monex Securities Inc. $1.1 million plus interest in disgorgement of commissions obtained by […]

by Richard FrankowskiPress Releases & NewsDecember 31 2014