Securities Law Violations Archives - Page 4 of 31 - FrankowskiFirm Blog Posts

Dawn Bennett Barred From Securities Industry

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The SEC barred Dawn Bennett from the securities industry for inflating her firm’s assets under management […]

by The Frankowski FirmPress Releases & News, SECJuly 12 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 Andrew Caspersen Pleads Guilty To $40M Fraud

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Andrew Caspersen, an ex-Wall Street executive and descendant of a wealthy family, pleaded guilty this week […]

by The Frankowski FirmFraud, Press Releases & NewsJuly 7 2016 Adviser To Plead Guilty To $21M Ponzi Scheme

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Patrick E. Churchville, an investment adviser from Rhode Island, is expected to plead guilty to criminal […]

by The Frankowski FirmFraud, Press Releases & News, SECJuly 6 2016 SEC Accuses Breitling Energy Of $80M Fraud

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The SEC charged Breitling Energy Corp., its CEO, and seven others with defrauding investors out of […]

by The Frankowski FirmFraud, Press Releases & News, SECJuly 5 2016 Raymond James Settles Compliance Failure Case For $5.95M

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Raymond James Financial Inc. has agreed to settle a compliance failure case with Vermont’s Department of […]

by The Frankowski FirmFraud, Press Releases & News, SECJuly 1 2016 SEC Bans MA Brokerage Firm Owner From Industry

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The SEC has banned Massachusetts resident Lee Weiss from the brokerage and investment advisory industry for […]

by The Frankowski FirmFraud, Press Releases & News, SECJune 30 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 SEC, FINRA Fine Merrill Lynch

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Following on the heels of Merrill Lynch’s agreement yesterday to pay $415 million to settle claims […]

by The Frankowski FirmFINRA, SECJune 24 2016 Merrill Lynch Settles SEC Charges, Will Pay $415M

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Merrill Lynch has agreed to pay $415 million and admit wrongdoing to settle charges filed by […]

by The Frankowski FirmPress Releases & News, SECJune 23 2016