Suitability Archives - Page 2 of 6 - FrankowskiFirm Blog Posts

FINRA Bars Broker Bernard McGee

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FINRA barred broker Bernard McGee and ordered him to pay about $250,000 in penalties for fraudulent […]

by The Frankowski FirmFINRA, Fraud, Press Releases & NewsJuly 20 2016 Broker To Pay $331k For Unsuitable Investments

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by The Frankowski FirmBroker Check, FINRA, Press Releases & NewsJuly 14 2016 Alabama Man Sentenced For Securities Fraud

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by The Frankowski FirmBroker Check, FINRA, Fraud, Press Releases & NewsMay 27 2016 Losses In Master Limited Partnerships

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The Frankowski Firm, LLC is investigating brokers and their brokerage firms who have recommended and sold […]

by The Frankowski FirmNews & EducationMay 2 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 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 Investors File Complaints Against James Hayne

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The Frankowski Firm is investigating complaints regarding Texas-based Cetera Advisors broker James Hayne (CRD# 3257845). He has spent […]

by The Frankowski FirmBroker Check, FINRA, Fraud, Press Releases & NewsApril 8 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