Securities Law Violations Archives - Page 6 of 31 - FrankowskiFirm Blog Posts

Native American Tribal Bond Scheme Revealed

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In a recent SEC press release, Jason Galanis, his father John Galanis, and five others were […]

by The Frankowski FirmFraud, Legal Matters, SECMay 13 2016 PA Financial Advisor Defrauds Pro Athletes

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Louis Martin Blazer, III, a financial advisor from the Pittsburgh, Pennsylvania area took cash from numerous […]

by The Frankowski FirmBroker Check, FINRA, Fraud, Press Releases & News, SECMay 9 2016 MetLife To Pay Record Fine Of $25M

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MetLife has agreed to pay $25 million to settle an investigation of abuses pertaining to variable […]

by The Frankowski FirmFINRA, Press Releases & NewsMay 3 2016 AL Man Indicted For Alleged Securities Fraud

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Jason Todd Caudle of Sylacauga, Alabama has been indicted for alleged securities fraud, following a March […]

by The Frankowski FirmFraud, Press Releases & NewsApril 29 2016 Complaints Against Merrill Lynch Broker For Unsuitable Recommendations

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According to FINRA’s BrokerCheck, Merrill Lynch broker Heather Weber has been the subject of at least […]

by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsApril 28 2016 Broker Faces Numerous Complaints Of Misrepresentations

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According to FINRA’s BrokerCheck, New York-based Worden Capital Management broker Allan Montalbano is facing numerous customer […]

by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsApril 27 2016 FINRA Bars Broker For Money Laundering And Deception

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FINRA has barred James Van Doren from the securities industry for unethical conduct. Van Doren was […]

by The Frankowski FirmFINRA, Fraud, Press Releases & NewsApril 25 2016 Broker Accused Of Pump-And-Dump Scheme

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Guy Gentile of Putnam Valley, New York allegedly ran a $17 million pump-and-dump stock scheme. Gentile […]

by The Frankowski FirmFraud, Press Releases & News, SECApril 20 2016 Frankowski Firm Investigating Former Broker Jerry McCutchen

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The Frankowski Firm is investigating ex-broker Jerry McCutchen. If you purchased real estate investment trusts (“REITs”) […]

by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsApril 14 2016 Investors File Churning Complaints Against John Prinzivalli

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According to FINRA’s BrokerCheck, broker John Prinzivalli has been the subject of two churning complaints since […]

by The Frankowski FirmBroker Check, FINRA, Fraud, Press Releases & NewsApril 12 2016