FINRA News Archives - Page 5 of 15 - FrankowskiFirm Blog Posts

FINRA Bars Broker For Borrowing Client Funds

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FINRA has barred broker Christopher Burtraw of Lakewood, Colorado, alleging that he borrowed client funds. Burtraw […]

by The Frankowski FirmFINRA, Press Releases & NewsMay 23 2016 FINRA Bars Broker Miguel Hernandez

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by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsMay 18 2016 FINRA Fines Raymond James $17M

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FINRA has fined two units of Raymond James Financial Inc. with a record $17 million in […]

by The Frankowski FirmFINRA, Press Releases & NewsMay 18 2016 MetLife To Pay Record Fine Of $25M

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MetLife has agreed to pay $25 million to settle an investigation of abuses pertaining to variable […]

by The Frankowski FirmFINRA, Press Releases & NewsMay 3 2016 Complaints Against Merrill Lynch Broker For Unsuitable Recommendations

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According to FINRA’s BrokerCheck, Merrill Lynch broker Heather Weber has been the subject of at least […]

by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsApril 28 2016 Broker Faces Numerous Complaints Of Misrepresentations

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According to FINRA’s BrokerCheck, New York-based Worden Capital Management broker Allan Montalbano is facing numerous customer […]

by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsApril 27 2016 FINRA Bars Broker For Money Laundering And Deception

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FINRA has barred James Van Doren from the securities industry for unethical conduct. Van Doren was […]

by The Frankowski FirmFINRA, Fraud, Press Releases & NewsApril 25 2016 Investors File Churning Complaints Against John Prinzivalli

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According to FINRA’s BrokerCheck, broker John Prinzivalli has been the subject of two churning complaints since […]

by The Frankowski FirmBroker Check, FINRA, Fraud, Press Releases & NewsApril 12 2016 Ex-Broker Charged With Improper Trading

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FINRA charged David Randall Lockey, a former broker, with profiting as a result of improper trading […]

by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsApril 5 2016 FINRA Panel Orders UBS To Pay For Bond Losses

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A FINRA arbitration panel ordered UBS Group AG’s wealth management business for the Americas to pay […]

by The Frankowski FirmFINRA, Fraud, Press Releases & NewsMarch 25 2016