Short-Selling Archives - FrankowskiFirm Blog Posts

FINRA December 2015 Disciplinary Actions: Part III

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Denny P. Darmodihardjo (Roswell, GA) submitted an AWC in which he was assessed a deferred fine […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsDecember 28 2015 FINRA August 2015 Disciplinary Actions: Part I

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Dempsey Lord Smith, LLC and Jerry Eskel Dempsey, Jr. of Rome, Georgia submitted a letter of […]

by Richard FrankowskiFINRA, Press Releases & News, SECSeptember 15 2015 New Jersey Group Accused Of Defrauding Investors Out Of $3M

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Less than one week after a New Jersey father and son were arrested for an alleged […]

by Richard FrankowskiFraud, Press Releases & NewsSeptember 9 2015 Canadian Trader Charged for Short Selling U.S. Stocks

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The SEC filed a complaint in the U.S. District Court in San Francisco alleging that Andrew […]

by Richard FrankowskiFraud, Press Releases & News, SECJuly 17 2015