Hedge, Bond & Mutual Funds Archives - Page 2 of 4 - FrankowskiFirm Blog Posts

Canarsie Capital Founder Pleads Guilty To Fraud, Lost $57M In Two Weeks

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Owen Li, founder of Canarsie Capital, managed to lose $57 million in only two weeks, leaving […]

by Richard FrankowskiFraud, Press Releases & News, SECDecember 18 2015 Hedge Fund Manager Who Faked Death Guilty Of Fraud

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Mark Malik, a New York hedge fund manager who once feigned his own death to avoid […]

by Richard FrankowskiFraud, Press Releases & NewsDecember 7 2015 Five More Firms To Pay $18M For Overcharges

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FINRA has ordered five broker-dealers to reimburse clients a sum of $18.4 million for charging them improper […]

by Richard FrankowskiFINRA, Press Releases & NewsOctober 28 2015 Investors Lose $11.7 Million In Risky Hedge Fund Through Lincoln Financial

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According to a FINRA Letter of Acceptance, Waiver and Consent (“AWC”), between about October 2008 and […]

by Richard FrankowskiFINRA, Press Releases & NewsSeptember 24 2015 FINRA August 2015 Disciplinary Actions: Part III

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Edward D. Jones & Co., L.P. of St. Louis, Missouri submitted a letter of acceptance, waiver, […]

by Richard FrankowskiFINRA, Press Releases & NewsSeptember 17 2015 UBS Settles Hedge Fund Suit

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UBS AG avoided going to trial today by mere hours by agreeing to settle a lawsuit […]

by Richard FrankowskiPress Releases & NewsSeptember 2 2015 Hedge Fund Manager Acquitted Of Inside Trading

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A federal jury in Atlanta acquitted Steven E. Slawson, a New Jersey hedge fund manager, who […]

by Richard FrankowskiPress Releases & NewsAugust 20 2015 RIA Fined $2.8M And Owner Barred From Securities Industry

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The SEC has fined a former registered investment adviser $2.8 million and barred its owner, Jacob Cooper, […]

by Richard FrankowskiFraud, Press Releases & News, SECAugust 18 2015 Nationwide Insurance To Pay $8M Penalty

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Nationwide Insurance Fined $8M for Violations Nationwide Life Insurance Company will pay $8 million to settle […]

by Richard FrankowskiPress Releases & NewsMay 21 2015 UBS Loses Arbitration, Forced To Pay $200k

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UBS Loses Arbitration and Ordered to Pay $200K UBS lost an arbitration case this week pertaining […]

by Richard FrankowskiPress Releases & NewsMay 14 2015