FINRA News Archives - Page 2 of 15 - FrankowskiFirm Blog Posts

VFG Securities Settles Claims With FINRA

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VFG Securities Inc., a small broker-dealer, and its owner, Jason Vanclef, reached a settlement agreement with […]

by Richard FrankowskiFINRA, Press Releases & NewsJanuary 2 2017 Twelve Firms Fined For Cybersecurity Issues

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FINRA dished out $14.4 million in fines to twelve firms for breaches pertaining to the retention […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 21 2016 Morgan Stanley Fined For Failing To Deliver Fund Prospectuses Online

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FINRA fined Morgan Stanley Smith Barney $1.5 million for technical failures, including a faulty website link […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 7 2016 Wells Fargo Fined $1M For Client Reports

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FINRA fined Wells Fargo $1 million for failing to have instituted reasonable supervisory systems to watch […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 6 2016 Dominic Thomas DeBruin Banned By FINRA

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by Richard FrankowskiBroker Check, FINRA, Press Releases & NewsDecember 2 2016 FINRA Files Complaint Against Dawn Bennett

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FINRA filed a complaint against Dawn Bennett for failing to testify in its investigation of possible […]

by Richard FrankowskiBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECDecember 2 2016 Oppenheimer & Co. Fined By FINRA

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FINRA fined Oppenheimer & Co. $3.4 Million for failures in reporting internal discipline, giving information in […]

by Richard FrankowskiFINRA, Press Releases & NewsNovember 18 2016 Mark Tauzin Suspended For Unsuitable Trading

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FINRA suspended former LPL Financial broker Mark Tauzin for engaging in unsuitable short-term trading of unit investment […]

by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsOctober 21 2016 PIABA Issues Report On BrokerCheck’s Shortcomings

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by The Frankowski FirmBroker Check, FINRAOctober 20 2016 Debra Ferrara Suspended For Fraudulent Wire Transfer

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Debra Ferrara, a former client administrator at Morgan Stanley, was fined and suspended by FINRA for […]

by The Frankowski FirmBroker Check, FINRA, Fraud, Press Releases & NewsOctober 18 2016