Securities Law Violations Archives - Page 7 of 31 - FrankowskiFirm Blog Posts

Advisor Accused Of Operating $53M Ponzi Scheme

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John Bivona, an unregistered advisor from New Jersey, has been accused of operating a massive Ponzi […]

by The Frankowski FirmFraud, Press Releases & News, SECApril 7 2016 Ex-Broker Charged With Improper Trading

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FINRA charged David Randall Lockey, a former broker, with profiting as a result of improper trading […]

by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsApril 5 2016 Kansas Man Sentenced For Securities Fraud

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Dennis D. Bailey of Bel Aire, Kansas has been sentenced to five years in prison for […]

by The Frankowski FirmFINRA, Fraud, Press Releases & NewsMarch 30 2016 BD Owner Indicted In Pump-And-Dump Scheme

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Guy Gentile, the owner of a New York broker-dealer, has been charged with fraudulently inflating the […]

by The Frankowski FirmFraud, Press Releases & NewsMarch 24 2016 TX Bars Adviser For Fraudulent Sales

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James Poe, a Forth Worth, Texas-based adviser and president of Jim Poe & Associates, Inc. has […]

by The Frankowski FirmFraud, Press Releases & NewsMarch 23 2016 NJ Financial Advisor Pleads Guilty To Fraud

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An ex-JPMorgan Chase financial advisor from Livingston, New Jersey pleaded guilty to embezzlement and securities fraud […]

by The Frankowski FirmFraud, Press Releases & News, SECMarch 18 2016 Broker Took $1.7M By Churning Accounts

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Broker Edward Beyn allegedly received over $1.7 million in commissions and fees by excessively trading his […]

by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsMarch 17 2016 Frankowski Firm Investigating Morgan Stanley Broker

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The Frankowski Firm is investigating claims pertaining to Angel E. Aquino-Velez of Miami, Florida, who has […]

by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsMarch 16 2016 Laidlaw Broker Facing Eight Complaints

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The Frankowski Firm is investigating Laidlaw broker Ahmad Wares of New York. Wares is the target […]

by The Frankowski FirmBroker Check, FINRA, Fraud, Press Releases & NewsMarch 15 2016 Genworth To Pay $219M To Settle Securities Case

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Genworth Financial Inc. has settled a class-action lawsuit alleging misrepresentations regarding its long-term-care insurance business for […]

by The Frankowski FirmFraud, Press Releases & NewsMarch 14 2016