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On June 12, 2024, the Securities and Exchange Commission (SEC) filed a cease-and-desist order against former […]
by Richard FrankowskiBlogAugust 1 2024 
Triad Advisors Faces $30 Million FINRA Complaint Over Alleged Supervisory FailuresA significant legal battle is unfolding as more than 70 investors have filed a FINRA complaint […]
by Richard FrankowskiBlogAugust 1 2024 
Financial Advisor Raul Benitez Faces Multiple Allegations of Unsuitable Investment RecommendationsThe recent allegations against financial advisor Raul Benitez have raised significant concerns within the securities industry. […]
by Richard FrankowskiBlogAugust 1 2024 
SEC Charges 16 Firms with $81 Million Penalty for Recordkeeping FailuresOn Feb. 9, 2024, in a significant enforcement action, the Securities and Exchange Commission (SEC) announced […]
by Richard FrankowskiBlogJuly 8 2024 
Affinity Fraud: A Hidden Threat to Investors Highlighted by the Wilkinson Family Speaker SeriesAffinity fraud, a pernicious form of investment fraud targeting specific groups with shared identities, took center […]
by Richard FrankowskiBlogJuly 8 2024 
The DOL Elevated Conduct Standards for Retirement AdvisorsThe U.S. Department of Labor (DOL) has recently finalized a rule designed to elevate conduct standards […]
by Richard FrankowskiBlogJuly 8 2024 
Supervisory failure leads to $500K fine by FINRA: An insight into Oppenheimer & Co. CaseIn a wake up call for broker-dealers, the Financial Industry Regulatory Authority (FINRA) has slapped a […]
by dmtasBlog, FINRA, investment fraud lawyer, Legal MattersJuly 3 2024 
SEC Secures $4.5 Billion Settlement in Landmark Terraform Labs and Do Kwon CaseOn June 13, 2024, the Securities and Exchange Commission (SEC) announced a landmark settlement with Terraform […]
by Richard FrankowskiBlogJuly 2 2024 