FINRA News Archives - Page 10 of 15 - FrankowskiFirm Blog Posts

FINRA August 2015 Disciplinary Actions: Part III

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Edward D. Jones & Co., L.P. of St. Louis, Missouri submitted a letter of acceptance, waiver, […]

by Richard FrankowskiFINRA, Press Releases & NewsSeptember 17 2015 FINRA August 2015 Disciplinary Actions: Part II

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Newbridge Securities Corporation of Fort Lauderdale, Florida submitted a letter of acceptance, waiver, and consent that censured […]

by Richard FrankowskiFINRA, Press Releases & News, SECSeptember 16 2015 FINRA August 2015 Disciplinary Actions: Part I

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Dempsey Lord Smith, LLC and Jerry Eskel Dempsey, Jr. of Rome, Georgia submitted a letter of […]

by Richard FrankowskiFINRA, Press Releases & News, SECSeptember 15 2015 FINRA Warns Investors About Messaging Apps

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FINRA issued an investor alert yesterday, titled Messaging Apps Are Latest Platform for Delivering Pump-and-Dump Schemes. In […]

by Richard FrankowskiFINRA, Press Releases & NewsSeptember 3 2015 FINRA Fines Charles Schwab $2M

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FINRA has fined Charles Schwab & Co., Inc. $2 million for net capital deficiencies and for […]

by Richard FrankowskiFINRA, Press Releases & NewsAugust 25 2015 FINRA Investigates Conflicts In Broker Pay

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FINRA is examining potential conflicts in interest regarding how firms compensate their brokers. In a targeted […]

by Richard FrankowskiFINRA, Press Releases & NewsAugust 21 2015 FSC Securities To Pay $1.28M In Ponzi Case

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FSC Securities will pay a $1.28 million arbitration award to investors who were defrauded by Aubrey […]

by Richard FrankowskiBroker Check, FINRA, Fraud, Press Releases & NewsAugust 17 2015 Former Broker, Robert K. Smith, Under Investigation

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Robert Keith Smith, formerly a broker with Berthel Fisher, has been accused by more than ten […]

by Richard FrankowskiBroker Check, FINRA, Press Releases & NewsAugust 4 2015 UBS Loses Arbitration, Forced To Pay $200k

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UBS Loses Arbitration and Ordered to Pay $200K UBS lost an arbitration case this week pertaining […]

by Richard FrankowskiPress Releases & NewsMay 14 2015 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