Selling Away Blog Posts

FINRA January 2017 Disciplinary Actions

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by Richard FrankowskiBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECJanuary 24 2017 FINRA Bars Broker Over Private Securities Transactions

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Former broker Brian Smit entered a Letter of Acceptance, Waiver, and Consent, accepting a bar from […]

by The Frankowski FirmFINRA, Press Releases & NewsJune 14 2016 FINRA Bars Broker For Borrowing Client Funds

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FINRA has barred Christopher Tolmacs of Portage, Michigan, alleging that the broker borrowed client funds.  The providing […]

by The Frankowski FirmFINRA, Press Releases & NewsJune 9 2016 Questar Advisor Allegedly Sold Fraudulent Securities

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The Frankowski Firm is investigating complaints regarding and the termination of former Questar Capital Corporation advisor Kevin […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsFebruary 17 2016 Frankowski Firm Investigating Former Raymond James Broker

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The Frankowski Firm is currently investigating the potential claims of people of who lost money investing […]

by Richard FrankowskiBroker Check, FINRA, Press Releases & NewsFebruary 1 2016 FINRA Interested In Disciplining, Not Punishing

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FINRA emphasized that the regulatory authority’s first goal is the “blocking and tackling” of enforcing its […]

by Richard FrankowskiFINRA, Press Releases & NewsNovember 5 2015 FSC Securities To Pay $1.28M In Ponzi Case

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FSC Securities will pay a $1.28 million arbitration award to investors who were defrauded by Aubrey […]

by Richard FrankowskiBroker Check, FINRA, Fraud, Press Releases & NewsAugust 17 2015 FINRA Investigating National Securities Broker

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Financial Industry Regulatory Authority Investigating National Securities Broker FINRA has filed a complaint against broker Vito […]

by Richard FrankowskiBroker Check, FINRA, Press Releases & NewsMay 12 2015 Alabama Man Arrested For Alleged Securities Violations

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Alabama Resident Arrested For Alleged Securities Violations Timothy Lowell Franks of Winfield, Alabama was arrested earlier […]

by Richard FrankowskiPress Releases & NewsApril 14 2015 Alabama Man Pleads Guilty In Ponzi Scheme Case

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Alabama Resident Pleads Guilty In Ponzi Scheme Case Over a five year span, former Hoover, Alabama […]

by Richard FrankowskiPress Releases & NewsMarch 30 2015