Insights
May 9, 2020
The Securities and Exchange Commission has charged West Virginia-based registered representative Phillip Conley with securities fraud. According to the SEC charges, Mr. Conley made fraudulent securiti...
May 9, 2020
Frankowski Firm attorney Robert Norton has been recognized by the American Trial Academy as a Top Tier Lawyer for 2020. The Top Tier Lawyer designation is an invitation-only recognition extended to on...
April 21, 2020
The Federal Trade Commission (“FTC”) has issued an alert cautioning small business owners who apply for Paycheck Protection Program (PPP) loans to guard themselves against predatory and fraudulent tac...
April 3, 2020
The Financial Industry Regulatory Authority (“FINRA”) has barred former First Standard Financial, LLC representative Robert F. Spiegel based on FINRA’s findings that Spiegel engaged in an unsuitably h...
March 5, 2020
The Securities and Exchange Commission has fined Wells Fargo Advisors $35 million for unsuitable sales of complex single-inverse Exchange Traded Funds (ETFs) to customers without the investment experi...
February 19, 2020
The Financial Industry Regulatory Authority (“FINRA”) has fined and censured Chelsea Financial Services, of Staten Island, New York. FINRA found that, from January 2016 through July 2018, Chelsea Fina...
December 18, 2019
Investors in Benefit Street Partners Realty Trust, Inc., formerly known as Realty Finance Trust, may have a right to recover their investment losses if their Benefit Street investment was recommended ...
August 8, 2019
Robert H. Shapiro, the former CEO of the Woodbridge Group of Companies, pleaded guilty to running a $1.3 billion Ponzi scheme that defrauded over 7,000 investors. The Woodbridge Group of Companies has...
August 2, 2019
Hector May, the head of suburban New York registered investment advisory firm Executive Compensation Planners, has been sentenced to 13 years in prison and ordered to pay $8.4 million in restitution f...
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...
May 9, 2019
An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) has entered a $1.4 million award against Pershing, LLC for its role as a custodian and clearing firm in the R. Allen Stan...
April 30, 2019
The Securities and Exchange Commission has charged Christopher Dougherty and his firm C&D Wealth Management, of the San Diego area, with running a Ponzi scheme which defrauded investment advisory ...
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