Fiduciary Duties Archives - FrankowskiFirm Blog Posts

FINRA January 2017 Disciplinary Actions

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by Richard FrankowskiBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECJanuary 24 2017 Charles Schwab Sued Over Own 401(k) Plan

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A participant in the Charles Schwab Corp. 401(k) plan has sued the plan and corporate executives, […]

by Richard FrankowskiLegal Matters, Press Releases & NewsJanuary 23 2017 Edward Jones Hit With Second Excessive Fee Suit

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Edward Jones has been hit with a second excessive fee and self-dealing suit regarding its 401(k) […]

by Richard FrankowskiPress Releases & NewsNovember 16 2016 Morgan Stanley Charged with Unethical Sales Contest

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Massachusetts is seeking a censure, cease and desist and equitable relief for customers after charging Morgan […]

by The Frankowski FirmNews & EducationOctober 7 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 Broker Fined for Siphoning from Octogenarians

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According to a recent Investment News article, First Heartland Capital broker Jerome Scott Krause must pay […]

by The Frankowski FirmNews & EducationSeptember 30 2016 Dez Bryant Sues Former Advisor

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NFL star and Dallas Cowboy wide receiver Dez Bryant is suing his former advisor, Royce West. […]

by The Frankowski FirmFraud, Press Releases & NewsJuly 21 2016 Transamerica To Pay $3.8M For Excessive Fees

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Transamerica has agreed to settle an excessive-fee lawsuit with its employees who participated in its 401(k) […]

by The Frankowski FirmPress Releases & NewsJune 29 2016 Fidelity Sued For Alleged Fiduciary Breach

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Participants in a Delta Air Lines Inc. 401(k) plan have sued units of Fidelity Investments, alleging […]

by The Frankowski FirmPress Releases & NewsJune 2 2016 Leavitt Sanders’ Clients May Have Legal Rights

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The Frankowski Firm, LLC has filed several lawsuits alleging that Leavitt Sanders and the entities he […]

by The Frankowski FirmBroker Check, FINRA, Fraud, Press Releases & NewsMay 17 2016