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Unauthorized Trading Archives - FrankowskiFirm Blog Posts

Understanding Stockbroker Negligence and When to File a FINRA Claim

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Investing in the stock market inherently involves risks. However, when a stockbroker’s negligence results in significant […]

by News & EducationApril 2 2025 Craig David Dima Barred By FINRA

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

by FINRA, Legal Matters, Press Releases & NewsMarch 2 2017 Henry Al Dean Watson Barred By FINRA

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by Broker Check, FINRA, Press Releases & NewsJanuary 19 2017 Broker Faces Numerous Complaints Of Misrepresentations

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According to FINRA’s BrokerCheck, New York-based Worden Capital Management broker Allan Montalbano is facing numerous customer […]

by Broker Check, FINRA, Press Releases & NewsApril 27 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 Broker Check, FINRA, Fraud, Press Releases & NewsApril 8 2016 Former Broker Sentenced For Fraud & Tax Evasion

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Jeffrey Eldred Gallagher of Bradenton Beach, Florida was sentenced in Springfield, Massachusetts for an investment scheme […]

by Fraud, Press Releases & NewsMarch 17 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 Broker Check, FINRA, Fraud, Press Releases & NewsMarch 15 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 Broker Check, FINRA, Press Releases & News, SECFebruary 5 2016 Two Charged In Alabama Securities Fraud Case

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Bruce Alexander Gwyn of Metairie, Lousiana and James Anthony Ghio of Fairhope, Alabama were arrested on […]

by Fraud, Press Releases & NewsSeptember 23 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 Broker Check, FINRA, Press Releases & NewsMay 12 2015