FINRA News Archives - Page 4 of 15 - FrankowskiFirm Blog Posts

Winston Wade Turner Banned from Securities Industry by FINRA for ‘Unethical and Dishonest Actions

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FINRA banned Winston Wade Turner, a former Prudential Financial Inc. and MetLife Inc. broker, from the […]

by The Frankowski FirmFINRA, Press Releases & NewsJuly 13 2016 FINRA Bars Broker For Mishandling Client Funds

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Last week, former Merrill Lynch broker Kenneth Daley submitted a Letter of Acceptance, Waiver and Consent […]

by The Frankowski FirmFINRA, Press Releases & NewsJune 28 2016 SEC, FINRA Fine Merrill Lynch

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Following on the heels of Merrill Lynch’s agreement yesterday to pay $415 million to settle claims […]

by The Frankowski FirmFINRA, SECJune 24 2016 FINRA Suspends Former LPL Broker

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FINRA has suspended former LPL Financial broker and supervisor Peter Neuberg for six months and has […]

by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsJune 22 2016 FINRA Bars Broker Over Private Securities Transactions

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Former broker Brian Smit entered a Letter of Acceptance, Waiver, and Consent, accepting a bar from […]

by The Frankowski FirmFINRA, Press Releases & NewsJune 14 2016 FINRA Bars Broker For Borrowing Client Funds

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FINRA has barred Christopher Tolmacs of Portage, Michigan, alleging that the broker borrowed client funds.  The providing […]

by The Frankowski FirmFINRA, Press Releases & NewsJune 9 2016 Oppenheimer & Co. To Pay $2.9M For ETF Sales

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FINRA fined Oppenheimer & Co. Inc. $2.25 million and ordered the firm to pay over $716,000 […]

by The Frankowski FirmFINRA, Press Releases & NewsJune 8 2016 Variable Annuities The Subject Of High Scrutiny

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Recently, two FINRA enforcement officials emphasized at an insurance industry conference that variable annuities, which offer […]

by The Frankowski FirmFINRAJune 7 2016 Wells Fargo Broker Banned By FINRA

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by The Frankowski FirmBroker Check, FINRA, Fraud, Press Releases & NewsJune 3 2016 NBA/NFL Players Win $819k FINRA Award

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by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsMay 24 2016