Insights
June 5, 2018
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 fail...
June 4, 2018
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 D...
May 21, 2018
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 ...
May 16, 2018
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 find...
May 8, 2018
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 failu...
May 7, 2018
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 exces...
March 8, 2018
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 ...
December 28, 2017
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 y...
November 9, 2017
The Financial Industry Regulatory Authority (“FINRA”) conducts more than 99% of the securities-related legal disputes in the United States, pursuant to FINRA’s code of arbitration procedures. Particip...
November 7, 2017
The Financial Industry Regulatory Authority (“FINRA”) has accepted a letter of Acceptance, Waiver, and Consent from Questar Capital Corporation, of Minneapolis, Minnesota, for its failure to identify ...
October 25, 2017
Last week, the Financial Industry Regulatory Authority (“FINRA”) ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC to pay more than $3.4 million in restitution...
October 18, 2017
An arbitration panel of the Financial Industry Regulatory Authority (“FINRA”) has ordered Morgan Stanley to pay $200,000 plus interest to one if its customers while also rescinding her investment in a...
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