Misrepresentation and Fraud Archives - Page 6 of 28 - FrankowskiFirm Blog Posts

Investors File Complaints Against James Hayne

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The Frankowski Firm is investigating complaints regarding Texas-based Cetera Advisors broker James Hayne (CRD# 3257845). He has spent […]

by The Frankowski FirmBroker Check, FINRA, Fraud, Press Releases & NewsApril 8 2016 Advisor Accused Of Operating $53M Ponzi Scheme

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John Bivona, an unregistered advisor from New Jersey, has been accused of operating a massive Ponzi […]

by The Frankowski FirmFraud, Press Releases & News, SECApril 7 2016 Kansas Man Sentenced For Securities Fraud

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Dennis D. Bailey of Bel Aire, Kansas has been sentenced to five years in prison for […]

by The Frankowski FirmFINRA, Fraud, Press Releases & NewsMarch 30 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 BD Owner Indicted In Pump-And-Dump Scheme

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Guy Gentile, the owner of a New York broker-dealer, has been charged with fraudulently inflating the […]

by The Frankowski FirmFraud, Press Releases & NewsMarch 24 2016 TX Bars Adviser For Fraudulent Sales

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James Poe, a Forth Worth, Texas-based adviser and president of Jim Poe & Associates, Inc. has […]

by The Frankowski FirmFraud, Press Releases & NewsMarch 23 2016 NJ Financial Advisor Pleads Guilty To Fraud

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An ex-JPMorgan Chase financial advisor from Livingston, New Jersey pleaded guilty to embezzlement and securities fraud […]

by The Frankowski FirmFraud, Press Releases & News, SECMarch 18 2016 Former Broker Sentenced For Fraud & Tax Evasion

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Jeffrey Eldred Gallagher of Bradenton Beach, Florida was sentenced in Springfield, Massachusetts for an investment scheme […]

by The Frankowski FirmFraud, Press Releases & NewsMarch 17 2016 Frankowski Firm Investigating Morgan Stanley Broker

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The Frankowski Firm is investigating claims pertaining to Angel E. Aquino-Velez of Miami, Florida, who has […]

by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsMarch 16 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