FINRA News Archives - Page 7 of 15 - FrankowskiFirm Blog Posts

Craig Scott Capital Subject Of FINRA Complaint

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FINRA recently filed an amended complaint against Craig Scott Capital, LLC and its co-founders, Craig Scott […]

by Lindsay GoMegaFINRA, Press Releases & NewsFebruary 12 2016 FINRA Bars Two Advisers Following Broker Fraud

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FINRA has barred two Buffalo, New York advisers, Timothy S. Dembskyi and Walter F. Grenda, from […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsFebruary 11 2016 FINRA Issues Investor Alert About High-Yield CD Offers

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FINRA issued a new investor alert warning that advertisements touting higher-than-average Certificate of Deposit yields might […]

by Richard FrankowskiFINRA, Press Releases & NewsFebruary 10 2016 Broker Lies About Charging $11M In Commissions For Nontraded REITs and BDCs

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FINRA charged a broker for lying to a Native American tribe about the $11 million in […]

by Richard FrankowskiFINRA, FraudFebruary 9 2016 Stephens, Inc. Submits AWC Letter To FINRA For Failing To Apply Sales Charge Discounts

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Stephens, Inc. submitted a letter of Acceptance, Waiver, and Consent to FINRA for failing to apply […]

by Richard FrankowskiFINRA, Press Releases & NewsFebruary 8 2016 Former Wedbush Securities Broker Defrauds Elderly Customer

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  In July 2014, Michael Winegar, formerly a broker with Wedbush  Securities, allegedly convinced an elderly […]

by Richard FrankowskiBroker Check, FINRA, Fraud, Press Releases & NewsFebruary 4 2016 Frankowski Firm Investigating Former Raymond James Broker

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The Frankowski Firm is currently investigating the potential claims of people of who lost money investing […]

by Richard FrankowskiBroker Check, FINRA, Press Releases & NewsFebruary 1 2016 Biggest FINRA Penalties In 2015

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The biggest penalties FINRA levied last came from a wide variety of violations: Puerto Rico The […]

by Richard FrankowskiFINRA, Press Releases & NewsJanuary 11 2016 FINRA Restitution To Investors Tripled To $96.2M Last Year

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In 2015, FINRA secured $96.2 million in restitution, nearly triple the $32.3 million it did in […]

by Richard FrankowskiFINRA, Press Releases & News, SECJanuary 7 2016 FINRA Intends To Probe Brokerages’ Compliance Culture

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FINRA intends to investigate whether complying with rules is part of brokerage firms’ culture during its examinations this year. The […]

by Richard FrankowskiFINRA, Press Releases & News, SECJanuary 5 2016