frankowski firm

FINRA Investigating National Securities Broker

Financial Industry Regulatory Authority Investigating National Securities Broker FINRA has filed a complaint against broker Vito Balsamo alleging that Balsamo was “selling away” ownership interests in a limited liability company named V.W. Industries, LLC without getting prior written approval from his member firm. Selling away occurs when an investment professional sells or offers securities not […]

Alabama Securities Fraudster’s Assets Intercepted

The Alabama Securities Commission intercepted $16,000 worth of redeemed stock owned by Harry H. “Woody” Duncan from Huntsville, Alabama and successfully rerouted the cash to assist in the payment of restitution to victims of an illegal securities scheme operated by Duncan in 2011. In August 2012, Madison County, Alabama Circuit Court Judge James P. Smith […]

Securities Fraud Trial Delayed For Alabama Tomato Farm Founder

A judge in Madison County, Alabama has granted a continuation for the trial scheduled for May in an alleged tomato farming scandal. James Lawhorne is alleged to have defrauded investors of Cypress Creek Organic Farms. The Alabama Securities Commission charged Lawhorne in December claiming that, while going by the alias “Jim Gilley,” he conned investors […]

Ohio Supreme Court Upholds Prison Term In Securities Fraud Case

The Ohio Supreme Court ruled today that ex-Evergreen Corporation President David Willan will serve his full ten year prison sentence for securities violations under the state’s racketeering laws. Writing for the 5-2 court, Justice Judith L. French noted that the court found that the three convictions unambiguously apply and subject Willan to a mandatory RICO […]

Former Georgia Attorney Pleads Guilty To Securities Violations

Hendrickx Toussaint, a former attorney from Atlanta, Georgia, has pleaded guilty in Madison County, Alabama Circuit Court to one count of Conspiracy to Commit Securities Fraud by employing a device, scheme or artifice to defraud, a Class C felony punishable by up to ten years and no less than a year and a day in […]

Alabama Man Arrested For Alleged Securities Violations

Alabama Resident Arrested For Alleged Securities Violations Timothy Lowell Franks of Winfield, Alabama was arrested earlier this month for allegedly violating the Alabama Securities Act. The arrest was the result of a March 2015 Marion County Grand Jury indictment, which charged him with six counts of violations: one count of Sale of Unregistered Securities, one […]

SEC Charges Former NFL Player With Fraud For Operating $31M Ponzi Scheme

Will Allen, a former National Football League cornerback, was charged with fraud by the SEC for allegedly running a Ponzi scheme that bilked investors out of $31 million. Allen allegedly worked with Susan Daub to create a number of companies, including Boston-based Capital Financial Partners, offering loans to professional athletes. Allen and Daub allegedly told […]

Alabama Man Pleads Guilty In Ponzi Scheme Case

Alabama Resident Pleads Guilty In Ponzi Scheme Case Over a five year span, former Hoover, Alabama financial broker Bryan Anderson found eighteen people to invest $8.4 million in a number of investments and guaranteed that the investments were completely risk free. Roughly two thirds of those investors watched Anderson at the federal courthouse in downtown […]

FINRA’s March 2015 Disciplinary Actions Part II

Jacob Robert Craton of Palm Beach Gardens, Florida submitted an AWC in which he was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in any capacity for 45 days. Craton did not admit or deny FINRA’s findings but consented to the sanctions and to the entry of findings that […]

FINRA’s March 2015 Disciplinary Actions Part I

Bulltick, LLC of Miami, Florida submitted an AWC in which the firm was censured and fined $20,000. Despite not admitting or denying FINRA’s findings, Bulltick consented to the sanctions and to the entry of findings that it failed to adequately implement and enforce its written supervisory procedures on reporting TRACE-eligible securities, pursuant to a Uniform […]

Tag: Misrepresentation and Fraud

FINRA Investigating National Securities Broker

Financial Industry Regulatory Authority Investigating National Securities Broker FINRA has filed a complaint against broker Vito Balsamo alleging that Balsamo was “selling away” ownership interests in a limited liability company named V.W. Industries, LLC without getting prior written approval from his member firm. Selling away occurs when an investment professional sells or offers securities not […]

Alabama Securities Fraudster’s Assets Intercepted

The Alabama Securities Commission intercepted $16,000 worth of redeemed stock owned by Harry H. “Woody” Duncan from Huntsville, Alabama and successfully rerouted the cash to assist in the payment of restitution to victims of an illegal securities scheme operated by Duncan in 2011. In August 2012, Madison County, Alabama Circuit Court Judge James P. Smith […]

Securities Fraud Trial Delayed For Alabama Tomato Farm Founder

A judge in Madison County, Alabama has granted a continuation for the trial scheduled for May in an alleged tomato farming scandal. James Lawhorne is alleged to have defrauded investors of Cypress Creek Organic Farms. The Alabama Securities Commission charged Lawhorne in December claiming that, while going by the alias “Jim Gilley,” he conned investors […]

Ohio Supreme Court Upholds Prison Term In Securities Fraud Case

The Ohio Supreme Court ruled today that ex-Evergreen Corporation President David Willan will serve his full ten year prison sentence for securities violations under the state’s racketeering laws. Writing for the 5-2 court, Justice Judith L. French noted that the court found that the three convictions unambiguously apply and subject Willan to a mandatory RICO […]

Former Georgia Attorney Pleads Guilty To Securities Violations

Hendrickx Toussaint, a former attorney from Atlanta, Georgia, has pleaded guilty in Madison County, Alabama Circuit Court to one count of Conspiracy to Commit Securities Fraud by employing a device, scheme or artifice to defraud, a Class C felony punishable by up to ten years and no less than a year and a day in […]

Alabama Man Arrested For Alleged Securities Violations

Alabama Resident Arrested For Alleged Securities Violations Timothy Lowell Franks of Winfield, Alabama was arrested earlier this month for allegedly violating the Alabama Securities Act. The arrest was the result of a March 2015 Marion County Grand Jury indictment, which charged him with six counts of violations: one count of Sale of Unregistered Securities, one […]

SEC Charges Former NFL Player With Fraud For Operating $31M Ponzi Scheme

Will Allen, a former National Football League cornerback, was charged with fraud by the SEC for allegedly running a Ponzi scheme that bilked investors out of $31 million. Allen allegedly worked with Susan Daub to create a number of companies, including Boston-based Capital Financial Partners, offering loans to professional athletes. Allen and Daub allegedly told […]

Alabama Man Pleads Guilty In Ponzi Scheme Case

Alabama Resident Pleads Guilty In Ponzi Scheme Case Over a five year span, former Hoover, Alabama financial broker Bryan Anderson found eighteen people to invest $8.4 million in a number of investments and guaranteed that the investments were completely risk free. Roughly two thirds of those investors watched Anderson at the federal courthouse in downtown […]

FINRA’s March 2015 Disciplinary Actions Part II

Jacob Robert Craton of Palm Beach Gardens, Florida submitted an AWC in which he was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in any capacity for 45 days. Craton did not admit or deny FINRA’s findings but consented to the sanctions and to the entry of findings that […]

FINRA’s March 2015 Disciplinary Actions Part I

Bulltick, LLC of Miami, Florida submitted an AWC in which the firm was censured and fined $20,000. Despite not admitting or denying FINRA’s findings, Bulltick consented to the sanctions and to the entry of findings that it failed to adequately implement and enforce its written supervisory procedures on reporting TRACE-eligible securities, pursuant to a Uniform […]

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