Private Placements Blog Posts

FINRA January 2017 Disciplinary Actions

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by Richard FrankowskiBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECJanuary 24 2017 Mickey Long Banned From Selling Alt. Investments

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The Texas State Securities Board has banned broker Mickey Long from recommending alternative investments, including nontraded […]

by The Frankowski FirmPress Releases & NewsOctober 10 2016 Broker To Pay $331k For Unsuitable Investments

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by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsJuly 14 2016 AL Man Charged With $1.5M Securities Fraud Involving Church

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Terry Earl Hester of Pike County, Alabama was charged with violating the Alabama Securities Act after […]

by The Frankowski FirmFraud, Press Releases & NewsJuly 11 2016 Medical Capital COO Gets 10 Years For Ponzi Scheme

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Joseph J. Lampariello, the former president and Chief Operating Officer of Medical Capital Holdings Inc., was […]

by The Frankowski FirmFraud, Press Releases & News, SECJune 27 2016 FINRA December 2015 Disciplinary Actions: Part II

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Wunderlich Securities, Inc. (Memphis, TN) submitted an AWC in which the firm was censured and fined […]

by Richard FrankowskiFINRA, Press Releases & NewsDecember 28 2015 History Of Investors Capital Corporation’s Malfeasance

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Investors Capital Corporation, a dually-registered independent Broker/Dealer and Investment Advisory firm, has a long history of […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsNovember 11 2015 FINRA Expels Halcyon Cabot Partners And Bars CEO And CCO

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FINRA expelled New York-based Halcyon Cabot Partners, Ltd., and barred Chief Executive Officer Michael Morris and Chief […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsOctober 8 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 II

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Newbridge Securities Corporation of Fort Lauderdale, Florida submitted a letter of acceptance, waiver, and consent that censured […]

by Richard FrankowskiFINRA, Press Releases & News, SECSeptember 16 2015