Suitability Archives - FrankowskiFirm Blog Posts

Frankowski Firm Investigating Jerry McCutchen for Multiple Acts of Broker Negligence and Fraud

archive.php

The Frankowski Firm is continuing its investigation of now-expelled securities broker Jerry McCutchen. McCutchen has been […]

by Richard FrankowskiNews & EducationJuly 21 2017 Frankowski Firm Investigating Westpark Capital for Potential Broker Fraud and Negligence

archive.php

The law offices of The Frankowski Firm, LLC are investigating customer complaints concerning Westpark Capital, Inc. […]

by Richard FrankowskiFINRAJuly 20 2017 Discretionary versus Non-Discretionary Investment Accounts

archive.php

Many investors wonder about the differences between discretionary and non-discretionary investment accounts or do not even […]

by Richard FrankowskiLegal MattersMay 3 2017 Craig David Dima Barred By FINRA

archive.php

Craig David Dima, an ex-registered representative with K.C. Ward Financial in Ronkonkoma, New York, was barred […]

by Richard FrankowskiFINRA, Legal Matters, Press Releases & NewsMarch 2 2017 Buffer Annuities: Why Regulators Are Seeing Complaints

archive.php

Regulators are beginning to shift their attention toward buffer annuities, a new kind of variable annuity. […]

by Richard FrankowskiFINRA, Legal Matters, Press Releases & NewsJanuary 25 2017 FINRA January 2017 Disciplinary Actions

archive.php

[fusion_builder_container type=”flex” hundred_percent=”no” equal_height_columns=”no” menu_anchor=”” hide_on_mobile=”small-visibility,medium-visibility,large-visibility” class=”” id=”” background_color=”” background_image=”” background_position=”center center” background_repeat=”no-repeat” fade=”no” background_parallax=”none” parallax_speed=”0.3″ […]

by Richard FrankowskiBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECJanuary 24 2017 VFG Securities Settles Claims With FINRA

archive.php

VFG Securities Inc., a small broker-dealer, and its owner, Jason Vanclef, reached a settlement agreement with […]

by Richard FrankowskiFINRA, Press Releases & NewsJanuary 2 2017 Mark Tauzin Suspended For Unsuitable Trading

archive.php

FINRA suspended former LPL Financial broker Mark Tauzin for engaging in unsuitable short-term trading of unit investment […]

by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsOctober 21 2016 FINRA Bars Jay Jules Gruenebaum

archive.php

[fusion_builder_container type=”flex” hundred_percent=”no” equal_height_columns=”no” menu_anchor=”” hide_on_mobile=”small-visibility,medium-visibility,large-visibility” class=”” id=”” background_color=”” background_image=”” background_position=”center center” background_repeat=”no-repeat” fade=”no” background_parallax=”none” parallax_speed=”0.3″ […]

by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsOctober 11 2016 Mickey Long Banned From Selling Alt. Investments

archive.php

The Texas State Securities Board has banned broker Mickey Long from recommending alternative investments, including nontraded […]

by The Frankowski FirmPress Releases & NewsOctober 10 2016