Hedge, Bond & Mutual Funds Archives - FrankowskiFirm Blog Posts

Hedge Funds and Their Returns on Investment

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Steve Mnuchin is expected to be the new Secretary of the Treasury Department for the U.S. […]

by Richard FrankowskiNews & EducationDecember 7 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 Paul Lebel Barred By SEC For Churning

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Paul Lebel, a broker formerly with LPL Financial from 2008 to 2014, was barred by the […]

by The Frankowski FirmPress Releases & News, SECOctober 19 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 UMT Headquarters Raided By Law Enforcement

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Law enforcement authorities raided the headquarters of United Mortgage Trust (“UMT”) in a suburb of Dallas, […]

by Richard FrankowskiFraud, Press Releases & NewsMarch 2 2016 Texas REIT Subpoenaed Following FBI Raid

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Management of real estate investment trust United Development Funding IV, a hedge fund accused of operating […]

by Richard FrankowskiFraud, Press Releases & News, SECFebruary 22 2016 Texas REIT Offices Raided By FBI

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The FBI raided the office of a Texas REIT, United Development Funding IV, this week. The […]

by Richard FrankowskiFraud, Press Releases & News, SECFebruary 19 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 Fines Barclays Capital $13.75M

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FINRA ordered Barclays Capital, Inc. to pay over $10 million in restitution, including interest, to affected […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 29 2015