Fiduciary Duties Archives - Page 4 of 4 - FrankowskiFirm Blog Posts

FINRA Investigating National Securities Broker

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Financial Industry Regulatory Authority Investigating National Securities Broker FINRA has filed a complaint against broker Vito […]

by Richard FrankowskiBroker Check, FINRA, Press Releases & NewsMay 12 2015 Department Of Labor Releases Proposal On Expanding Fiduciary Duties

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Resources Know your rights, the relevant laws, and what questions to ask BEFORE you agree to […]

by Richard FrankowskiPress Releases & NewsApril 15 2015 NYC Comptroller Wants Brokers To State They Are Not Fiduciaries

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New York City comptroller Scott M. Stringer is pushing the state legislature to pass a law […]

by Richard FrankowskiPress Releases & NewsApril 3 2015 SEC Chairwoman Claims Fiduciary Battle Just Getting Started

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SEC Chairwoman States Fiduciary Battle Is Just Beginning Mary Jo White, Chairwoman of the SEC, told […]

by Richard FrankowskiPress Releases & NewsApril 2 2015 SEC To Develop Fiduciary Rule For Brokers

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SEC Set to Create Fiduciary Rules for Brokers SEC Chair Mary Jo White stated that the […]

by Richard FrankowskiPress Releases & NewsMarch 17 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 Frankowski Firm Investigating Leavitt F. Sanders And Associated Firms

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The Frankowski Firm is investigating the potential claims of people who invested with Leavitt F. Sanders […]

by Richard FrankowskiPress Releases & NewsMarch 4 2015 Judges Declines To Dismiss Principal Investment Groups Excessive Fee Suit

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U.S. District Judge John A. Jarvey, an Iowa federal judge, decided not to dismiss a case […]

by Richard FrankowskiPress Releases & NewsSeptember 12 2014 Investors Hope To Keep UBS Suit In Puerto Rico

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A $5 million putative class of plaintiffs accusing UBS AG of soliciting to elderly investors risky […]

by Richard FrankowskiPress Releases & NewsAugust 12 2014