FINRA News Archives - Page 6 of 15 - FrankowskiFirm Blog Posts

Wedbush Fined For Trading Blunders

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A number of trading and clearing blunders by Wedbush Securities Inc. pertaining to a customer’s redemption […]

by The Frankowski FirmFINRA, Press Releases & News, SECMarch 21 2016 Broker Took $1.7M By Churning Accounts

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Broker Edward Beyn allegedly received over $1.7 million in commissions and fees by excessively trading his […]

by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsMarch 17 2016 Laidlaw Broker Facing Eight Complaints

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The Frankowski Firm is investigating Laidlaw broker Ahmad Wares of New York. Wares is the target […]

by The Frankowski FirmBroker Check, FINRA, Fraud, Press Releases & NewsMarch 15 2016 Morgan Stanley Subject Of Arbitration Filed By NC Couple

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Two North Carolina investors have filed an arbitration claim with FINRA against Morgan Stanley  over unsuitable […]

by The Frankowski FirmFINRA, Fraud, Press Releases & NewsMarch 14 2016 Former Broker Indicted On Fraud Charges

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Claus Foerster, an ex-broker from South Carolina, was indicted by a grand jury for bilking customers […]

by The Frankowski FirmFINRA, Fraud, Press Releases & NewsMarch 11 2016 Ex-MetLife, Pruco Broker Accused Of Deceptive Variable Annuity Sales Practices

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FINRA has accused a former MetLife Securities Inc. and Pruco Securities Inc. broker, Winston Wade Turner, […]

by Richard FrankowskiBroker Check, FINRA, Fraud, Press Releases & NewsMarch 2 2016 Former RBC Capital Markets Representative Submits Letter of AWC

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Robert O’Keef, formerly a registered representative with RBC Capital Markets, LLC, submitted a letter of acceptance, […]

by Richard FrankowskiFINRA, Press Releases & NewsFebruary 26 2016 PIABA: Investors Owed Millions In Arbitration Awards Unable To Collect

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According to the Public Investors Arbitration Bar Association (PIABA), FINRA is failing to help investors collect […]

by Richard FrankowskiFINRA, Press Releases & NewsFebruary 25 2016 FINRA Bars Broker For Market Manipulation

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FINRA barred broker George Johnson from the securities industry for operating a manipulative trading scheme to […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsFebruary 23 2016 Questar Advisor Allegedly Sold Fraudulent Securities

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The Frankowski Firm is investigating complaints regarding and the termination of former Questar Capital Corporation advisor Kevin […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsFebruary 17 2016