Private Placements Archives - Page 2 of 2 - FrankowskiFirm Blog Posts

Former Broker, Robert K. Smith, Under Investigation

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Robert Keith Smith, formerly a broker with Berthel Fisher, has been accused by more than ten […]

by Richard FrankowskiBroker Check, FINRA, Press Releases & NewsAugust 4 2015 FINRA Sanctions Brookville Capital Partners And Bars President

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FINRA announced today that it has ordered Brookville Capital Partners, LLC of Uniondale, New York to […]

by Richard FrankowskiPress Releases & NewsMarch 12 2015 Recent FINRA Disciplinary Fines And Sanctions

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Arque Capital, Ltd. submitted a letter of acceptance, waiver, and consent in which the firm was […]

by Richard FrankowskiPress Releases & NewsFebruary 13 2015 Should The SEC Update Its Definition Of Accredited Investors?

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Currently, the SEC defines an accredited investor a someone who either has an income of at […]

by Richard FrankowskiPress Releases & NewsOctober 22 2014