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Jun 15, 2018

FRANKOWSKI FIRM FILES CLAIMS AGAINST MARK HANSEN, HANSEN & ASSOCIATES FINANCIAL GROUP OF SACRAMENTO

By |June 15th, 2018|Legal Matters|

The Frankowski Firm has filed a FINRA arbitration claim against Mark Hansen and Hansen & Associates Financial Group, of Sacramento, California, based on Mr. Hansen’s alleged investment advice to his clients (the arbitration claimants) to invest in “IGOT Oil, Co.” an Arizona corporation purporting to conduct oil drilling operations in Oklahoma. According to the Statement [...]

Jun 13, 2018

FRANKOWSKI FIRM INVESTIGATING POTENTIAL CLAIMS AGAINST SEAN AARON BRADY AND FIRST ALLIED SECURITIES, INC.

By |June 13th, 2018|Legal Matters|

The Frankowski Firm is investigating potential claims against Sean Aaron Brady and his former employer, First Allied Securities, Inc., of  Saint Louis, Missouri, following FINRA’s decision to permanently bar Mr. Brady from the securities industry. According to FINRA’s Acceptance and Consent findings against Mr. Brady, Mr. Brady did not respond to FINRA’s requests or otherwise [...]

Jun 11, 2018

FRANKOWSKI FIRM INVESTIGATING POTENTIAL CLAIMS AGAINST JOHN DOUGLAS WADE AND U.S. BANCORP INVESTMENTS, INC.

By |June 11th, 2018|Legal Matters|

The Frankowski Firm is investigating potential claims against John Douglas Wade and his former employer, U.S. Bancorp Investments, Inc., of Fullerton, California, following FINRA’s decision earlier this month to permanently bar Mr. Wade from the securities industry. According to FINRA’s Acceptance and Consent findings against Mr. Wade, between February 2013 and July 2017, Mr. Wade [...]

Jun 8, 2018

SEC WARNS INVESTORS OF PONZI SCHEME “RED FLAGS”

By |June 8th, 2018|Legal Matters|

A Ponzi scheme is a form of investment fraud in which the scheme’s operator pays returns on purported investments to the current “investors” using money collected from new “investors.” Because such a scheme requires a steady and near constant flow of new incoming money to survive, Ponzi schemes are doomed to eventual failure, or immediate [...]

Jun 6, 2018

FRANKOWSKI FIRM INVESTIGATING POTENTIAL CLAIMS AGAINST OPPENHEIMER & CO., INC. AND BROKER JAMES FORSYTHE

By |June 6th, 2018|Legal Matters|

The Frankowski Firm is investigating potential claims against Oppenheimer & Co., Inc. and its broker James Forsythe, of New York, NY, following a FINRA arbitration panel’s award of $800,000 against Oppenheimer and in favor of its customer for whom Mr. Forsythe was a broker. According to the customer’s complaint, Forsythe and Oppenheimer executed unauthorized trades [...]

Jun 5, 2018

FRANKOWSKI FIRM INVESTIGATING POTENTIAL CLAIMS AGAINST FORMER HUNTINGTON INVESTMENT COMPANY BROKER ELLEN VRATORIC

By |June 5th, 2018|Legal Matters|

The Frankowski Firm is investigating potential claims against FINRA-expelled broker Ellen Vratoric, of the Pittsburgh, PA area. FINRA barred Ms. Vratoric from the securities industry based on her failure to cooperate with FINRA's investigation into allegations that Ms. Vratoric altered documents associated with a variable annuity purchase and made misrepresentations and omissions in the sales [...]

Jun 4, 2018

FRANKOWSKI FIRM INVESTIGATING CLAIMS AGAINST BARRED LONG ISLAND BROKER STEVEN PAGARTANIS

By |June 4th, 2018|Legal Matters|

The Frankowski Firm is investigating potential claims against FINRA-expelled broker Steven Pagartanis, of Long Island, New York. Mr. Pagartanis was recently charged by the SEC and the Suffolk County District Attorney’s office on allegations that he defrauded investors in an $8 million scam. Mr. Pagartanis was also permanently barred from the securities industry by FINRA [...]

May 21, 2018

FINRA TAKES A KNEE, PERMANENTLY BARS BROKER JAMES KNEE FROM SECURITIES INDUSTRY

By |May 21st, 2018|Legal Matters|

The Frankowski Firm is investigating potential claims against FINRA-expelled broker James Edward Knee, of Concord, New Hampshire, following Mr. Knee’s permanent bar from the securities industry based on his refusal to cooperate with FINRA’s investigation into allegations that he misappropriated customer funds while licensed with Ameriprise Financial Services, Inc. and Voya Financial Advisors, Inc., from [...]

May 18, 2018

CONTACT THE FRANKOWSKI FIRM REGARDING YOUR JEFFREY LYNN GENTRY PONZI SCHEME LOSS

By |May 18th, 2018|Legal Matters|

Residents in White County, Tennessee have been shocked by revelations that a trusted local businessman spent the past four years duping investors in a massive $43 million Ponzi scheme. Yesterday, 40-year-old Jeffrey Allen Gentry pleaded guilty to wire fraud and money laundering charges in connection with the Ponzi scheme, with victims including his own family [...]

May 18, 2018

CRYPTOCURRENCY LOSSES, FRAUD, PILE UP

By |May 18th, 2018|Legal Matters|

Another week of negative press for cryptocurrency serves as the latest warning to investors about the high risk and seedy underside of the crypto market. Today’s Wall Street Journal features an article describing hundreds of Bitcoin-type offerings as showing the “Hallmarks of Fraud.” A WSJ investigation revealed hundreds of initial digital coin offerings which included [...]

May 16, 2018

FRANKOWSKI FIRM INVESTIGATING POTENTIAL CLAIMS AGAINST FORMER MORGAN STANLEY BROKER THOMAS ALAN MEIER

By |May 16th, 2018|Legal Matters|

The Frankowski Firm is investigating potential claims against FINRA-expelled broker Thomas Alan Meier, of Miami, Florida, following Mr. Meier’s permanent bar from the securities industry based on findings that Meier effected unauthorized trades in customer accounts, generating large commissions for himself while losing his clients’ money. According to FINRA’s Acceptance, Waiver, and Consent findings against [...]

May 9, 2018

WELLS FARGO TO PAY $480 MILLION IN SETTLEMENT OF SECURITIES FRAUD LAWSUIT

By |May 9th, 2018|Legal Matters|

Wells Fargo will pay $480 million to resolve an investor class-action suit against the company, it was announced on Friday. The claims stemmed from allegations that the company, which is publicly traded, violated federal law by failing to inform shareholders after learning that regulators were investigating the bank’s creation of phony customer accounts. Federal law [...]

May 8, 2018

FINRA SANCTIONS FIFTH THIRD SECURITIES, INC. OVER VARIABLE ANNUITY EXCHANGES

By |May 8th, 2018|Misrepresentation and Fraud, SEC, Securities Law Violations, Variable Annuity|

The Financial Industry Regulatory Authority (“FINRA”) has announced a fine of $4 million and required an additional $2 million in restitutionary damages from Fifth Third Securities, Inc. for its failures to consider and accurately describe the costs and benefits of variable annuity exchanges, and for recommending variable annuity exchanges without a reasonable basis to believe [...]

May 7, 2018

FRANKOWSKI FIRM INVESTIGATING POTENTIAL CLAIMS AGAINST FORMER VANDERBILT SECURITIES BROKER MARK KAPLAN

By |May 7th, 2018|Legal Matters|

The Frankowski Firm is investigating potential claims against FINRA-expelled broker Mark Kaplan, of Woodbury, New York, following Mr. Kaplan’s expulsion from the securities industry based on his excessive trading (“churning”) in the account of an elderly investor suffering from dementia. According to FINRA’s Acceptance, Waiver, and Consent findings against Kaplan, Kaplan effected more than 3,500 [...]

Mar 8, 2018

FRANKOWSKI FIRM INVESTIGATING POTENTIAL CLAIMS AGAINST FORMER MADISON AVENUE SECURITIES BROKER DAVID L. BARBER

By |March 8th, 2018|FINRA|

The Frankowski Firm is investigating potential claims against FINRA-expelled broker David L. Barber, of San Diego, California, following Mr. Barber’s expulsion from the securities industry due to his failure to cooperate with a FINRA investigation into allegations that he engaged in unauthorized trading in to the accounts of Madison Avenue customers, exercised discretion in customer [...]

Mar 5, 2018

FRANKOWSKI FIRM INVESTIGATING POTENTIAL CLAIMS AGAINST FORMER WELLS FARGO BROKER JEFFREY PALISH

By |March 5th, 2018|Misrepresentation and Fraud|

The Frankowski Firm is investigating potential claims against terminated Wells Fargo broker Jeffrey Palish, of Woodcliff Lake, New Jersey, following Mr. Palish’s arrest and termination from the securities industry on charges that he stole at least $600,000 from elderly clients over four years. According to the story published at northjersey.com, Mr. Palish is believed to [...]

Jan 4, 2018

FRANKOWSKI FIRM INVESTIGATING CLAIMS AGAINST AEQUITAS CAPITAL MANAGEMENT

By |January 4th, 2018|Ponzi Scheme|

The Frankowski Firm is investigating potential claims against Aequitas Capital Management of Lake Oswego, Oregon. The Securities and Exchange Commission has brought charges against Aequitas and three of its top executives for allegedly running a $350 million Ponzi scheme. The SEC allegations claim that, since 2014, Aequitas defrauded investors into thinking they were investing in [...]

Dec 28, 2017

FINRA BARS FORMER MML INVESTORS SERVICES BROKER BRIAN MICHAEL TRAVERS FOR REFUSING TO COOPERATE WITH FINRA INVESTIGATION

By |December 28th, 2017|FINRA|

The Frankowski Firm is investigating potential claims against MML Investors Services, Inc., of Springfield, Massachusetts. The firm has been the subject of ten regulatory actions within the past ten years, not including this month’s FINRA permanent bar of former MML broker Brian Michael Travers of Long Island, New York for failing to cooperate with FINRA’s [...]

Dec 23, 2017

SEC CHARGES WOODBRIDGE GROUP AND FOUNDER ROBERT SHAPIRO WITH RUNNING $1.2 BILLION PONZI SCHEME

By |December 23rd, 2017|Ponzi Scheme|

Did you lose money investing with the Woodbridge Group? The Frankowski Firm can help The Securities and Exchange Commission (“SEC”) announced yesterday that it was bringing charges and freezing the assets of a group of unregistered funds and their owner based on allegations that the Woodbridge Group and its founder, Robert Shapiro, bilked investors (many [...]

Dec 22, 2017

FRANKOWSKI FIRM INVESTIGATING POTENTIAL CLAIMS AGAINST LPL FINANCIAL LLC AND CHARLES FACKRELL

By |December 22nd, 2017|Fraud|

The Frankowski Firm is investigating potential claims against LPL Financial, LLC and its former broker Charles Fackrell, of Yadkinville, North Carolina, following a Financial Industry Regulatory Authority (“FINRA”) arbitration award of $462,000 against the firm based on Mr. Fackrell’s fraudulent Ponzi scheme and unsuitable trading in LPL customers’ accounts. Mr. Fackrell accepted a permanent bar [...]

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