Insights
February 14, 2020
The Financial Industry Regulatory Authority (“FINRA”) has permanently barred Capital City Securities representative Clint H. Keneer from the securities industry based on his refusal to give testimony ...
February 13, 2020
The Financial Industry Regulatory Authority (“FINRA”) has fined and sanctioned NYLife Securities, LLC for supervisory failures related to sales of higher-risk mutual funds that were subject to signifi...
January 30, 2020
For the sixth consecutive year, Frankowski Firm attorney Robert Norton has been recognized by Super Lawyers magazine as a Rising Star in securities litigation in the Mid-South region. The Rising Star ...
January 6, 2020
The Financial Industry Regulatory Authority (“FINRA”) has fined and sanctioned Oppenheimer & Co., Inc. for failure to supervise short-term UIT trading , a violation that harmed investors and viola...
December 30, 2019
The Financial Industry Regulatory Authority (“FINRA”) has barred former NYLIFE Securities broker Cristina Sabengsy based on FINRA’s findings that Sabengsy forged the signatures of two of her customers...
December 13, 2019
The Securities and Exchange Commission (“SEC”) has imposed a permanent ban against Securities America Advisors, Inc. representative Ronald James Roach, of Securities America Advisors’ Walnut Creek, Ca...
August 13, 2019
The Financial Industry Regulatory Authority (“FINRA”) has suspended broker Steve Baptist for 30 days and imposed a monetary sanction against him based on FINRA’s findings that Baptist placed six trade...
July 26, 2019
The Financial Industry Regulatory Authority (“FINRA”) has imposed a regulatory fine and a one year suspension against former Wells Fargo broker Michael David Garris, formerly of Wells Fargo’s Los Ange...
July 21, 2019
GPB CAPITAL HOLDINGS The Frankowski Firm is investigating claims related to the GPB Capital Holdings family of investment funds. Last month, GPB Capital reported “ significant losses ” in its funds wi...
June 20, 2019
Wedbush Securities Inc. will pay $8.1 million to settle SEC charges that it mishandled “pre-released” American Depository Receipts (ADRs), according to an SEC press release . ADRs are U.S. securities ...
May 20, 2019
An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) has made findings against Morgan Stanley Smith Barney, LLC and entered an award against the firm of over $500,000 in favo...
May 7, 2019
An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) has made findings against AXA Advisors, LLC and entered an award against the firm exceeding $3.2 million in favor of a Ne...
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