Insights
July 2, 2021
Michael Ecker, a stockbroker in Concorde Investment Services’ Wellington, FL branch office, has been named in two customer disputes filed with the Financial Industry Regulatory Authority (“...
April 9, 2021
An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) has entered a $4.6 million award against Interactive Brokers and Charles Schwab in a case brought by over two dozen custo...
April 6, 2021
The Frankowski Firm is currently investigating claims of unsuitable and misrepresented sales of Puerto Rican municipal bonds by Wedbush Securities and stockbroker Mark Augusta. The NYSE regulatory bod...
April 6, 2021
MML Investors Services Broker Brian Michael Travers has been barred by FINRA for failing to cooperate with their investigation into claims of undisclosed outside business activities and private securi...
April 6, 2021
Stock broker Charles Fackrell, of Yadkinville, North Carolina, used to work for LPL Financial, LLC. He was permanently barred by FINRA in February 2015, after he failed to cooperate in FINRA’s investi...
April 6, 2021
The Frankowski Firm is investigating claims of broker fraud and mismanagement that has led to significant losses and excessive fees in employee 401(k) retirement plans. We invite you to learn more....
April 6, 2021
Morgan Stanley Smith Barney has been a powerhouse brokerage firm for years. The Frankowski Firm is currently investigating claims on behalf of clients throughout the country who may have sustained los...
April 6, 2021
NEW YORK – In three years of managing investments for North Dakota farmer Richard Haus, Long Island stock broker Mike McMahon and his colleagues charged their client $267,567 in fees and interest – wh...
February 2, 2021
Kevin McCallum, an Alabama-based stockbroker and financial advisor with Glacier Point Advisors, LLC, who was previously registered with LPL Financial, LLC and NBC Securities, Inc., has disclosed a $4....
October 23, 2020
Concorde Investment Services, LLC and its Chief Compliance Officer, Kimberlee Elizabeth Levy, were recently censured and fined by the Financial Industry Regulatory Authority (FINRA) for failing to rea...
October 20, 2020
On October 19, 2020, the Financial Industry Regulatory Authority fined and suspended former broker of SagePoint Financial, Troy Robert Baily, for engaging in four undisclosed and unapproved private se...
September 11, 2020
The Securities and Exchange Commission, the Financial Industry Regulatory Authority (FINRA) and the Commodity Futures Trading Commission (CFTC) have announced settlements with Interactive Brokers rela...
Page 10 of 30
Free · Confidential · No Obligation
500+
Cases Handled
25+
Years Experience
AV
Preeminent Rated
$0
Fees Until We Win