FINRA News Archives - FrankowskiFirm Blog Posts

KEVIN MCCALLUM HIT WITH $4.8 MILLION CUSTOMER CLAIM INVOLVING MEDLEY CAPITAL STOCK

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Kevin McCallum, an Alabama-based stockbroker and financial advisor with Glacier Point Advisors, LLC, who was previously […]

by The Frankowski FirmFINRAFebruary 2 2021 Kevin Graetz Suspended By FINRA

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Kevin Graetz has settled a FINRA complaint accusing him of failing to report federal and state […]

by Richard FrankowskiNews & EducationMay 17 2017 FINRA May Clampdown On Brokers, Unpaid Awards

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Next week, FINRA will take a look at two problems that have been plaguing it: brokers […]

by Richard FrankowskiNews & EducationMay 5 2017 Corrine Mittag Faces Sanctions From FINRA Over Alleged Email Fraud

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Corrine Mittag, formerly a broker with BancWest Investment Services, is looking at sanctions from FINRA for […]

by Richard FrankowskiBroker CheckMarch 30 2017 Paul Stanley Of Waddell & Reed Barred By FINRA

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FINRA announced that it barred former Waddell & Reed Inc. broker Paul Stanley, who was dismissed […]

by Richard FrankowskiBroker CheckMarch 15 2017 Craig David Dima Barred By FINRA

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Craig David Dima, an ex-registered representative with K.C. Ward Financial in Ronkonkoma, New York, was barred […]

by Richard FrankowskiFINRA, Legal Matters, Press Releases & NewsMarch 2 2017 Buffer Annuities: Why Regulators Are Seeing Complaints

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Regulators are beginning to shift their attention toward buffer annuities, a new kind of variable annuity. […]

by Richard FrankowskiFINRA, Legal Matters, Press Releases & NewsJanuary 25 2017 FINRA January 2017 Disciplinary Actions

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by Richard FrankowskiBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECJanuary 24 2017 Henry Al Dean Watson Barred By FINRA

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by Richard FrankowskiBroker Check, FINRA, Press Releases & NewsJanuary 19 2017 Valic Financial Advisors Fined $1.75M

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Referring to several conflicts of interest regarding how the firm paid brokers selling annuities, FINRA announced […]

by Richard FrankowskiFINRA, Press Releases & NewsJanuary 2 2017