Suitability Archives - Page 3 of 6 - FrankowskiFirm Blog Posts

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 Morgan Stanley Subject Of Arbitration Filed By NC Couple

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Two North Carolina investors have filed an arbitration claim with FINRA against Morgan Stanley  over unsuitable […]

by The Frankowski FirmFINRA, Fraud, Press Releases & NewsMarch 14 2016 Frankowski Firm Investigating Raymond James MLP Recommendations

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The Frankowski Firm, LLC is investigating Raymond James’ potentially inappropriate recommendations of oil and gas and […]

by The Frankowski FirmPress Releases & NewsMarch 7 2016 Frankowski Firm Investigating UDF REITs

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The Frankowski Firm is continuing its investigation into United Development Funding III and IV (UDF) on […]

by Richard FrankowskiFINRA, Fraud, Legal Matters, Press Releases & NewsMarch 2 2016 Ex-MetLife, Pruco Broker Accused Of Deceptive Variable Annuity Sales Practices

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FINRA has accused a former MetLife Securities Inc. and Pruco Securities Inc. broker, Winston Wade Turner, […]

by Richard FrankowskiBroker Check, FINRA, Fraud, Press Releases & NewsMarch 2 2016 Frankowski Firm Investigating UBS Broker

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The Frankowski Firm is currently investigating the possible wrongdoing of current UBS Financial Services broker Bradley […]

by Richard FrankowskiBroker Check, FINRA, Press Releases & News, SECFebruary 5 2016 Risks Associated With Investing In Master Limited Partnerships

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Master limited partnerships (“MLPs”) are complex investment vehicles that have become massively popular in the past […]

by Richard FrankowskiFINRA, Press Releases & NewsJanuary 25 2016 Biggest FINRA Penalties In 2015

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The biggest penalties FINRA levied last came from a wide variety of violations: Puerto Rico The […]

by Richard FrankowskiFINRA, Press Releases & NewsJanuary 11 2016 Massachusetts Regulator Charges Securities Firm With Unsuitable Sale To Elderly Client

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William Galvin, secretary of the commonwealth of Massachusetts, has charged a securities firm operating at Citizens […]

by Richard FrankowskiPress Releases & NewsJanuary 8 2016