Insights
November 19, 2020
The Financial Industry Regulatory Authority (“FINRA”) has banned Louis Cook, who was a Staten Island, New York-based representative for National Planning Corporation and Securities Service Network. FI...
November 4, 2020
The Financial Industry Regulatory Authority (“FINRA”) has barred Joseph Stone Capital, LLC representative Erik Pica following findings that Pica took a 76-year-old customer’s $200,000, and used the mo...
July 10, 2020
The United States Attorney’s Office for the Middle District of Tennessee has announced charges against former Raymond James financial advisor Frederick M. Stow, of Franklin, Tennessee. According to th...
May 25, 2020
The Financial Industry Regulatory Authority (“FINRA”) has permanently barred Corpus Christi, Texas stockbroker Jesse Gil, III from the securities industry based on findings that Gil made unauthorized ...
January 9, 2020
The Financial Industry Regulatory Authority (“FINRA”) has barred former Janney Montgomery Scott and Morgan Stanley broker John Joseph Cahill based on FINRA’s findings that Cahill refused to cooperate ...
July 30, 2019
The Financial Industry Regulatory Authority (“FINRA”) has imposed a permanent ban against former Morgan Stanley and Wells Fargo broker Robert Frederico Montes, who most recently worked in Morgan Stanl...
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...
March 12, 2019
The Securities and Exchange Commission has entered an Order permanently barring former Wells Fargo Advisors broker John Gregory Schmidt, of Dayton, Ohio, from the securities industry. The SEC’s Order ...
February 9, 2019
FINRA EXAMS TO INCLUDE COMPLIANCE WITH ELDER ABUSE RULES The Financial Industry Regulatory Authority (“FINRA”), the self-regulatory organization which enforces rules governing the activities of all re...
November 16, 2018
The Financial Industry Regulatory Authority (“FINRA”) entered an Acceptance, Waiver, and Consent (“AWC”) letter today against former Waddell & Reed broker Robert Lee Basile, who worked in Waddell ...
August 3, 2018
David Chadwick Carrick and Stifel Nicolaus The Frankowski Firm is investigating potential claims against David Chadwick Carrick and Stifel, Nicolaus & Company, Inc., following a lawsuit filed in G...
June 19, 2018
SEC charges eight in $102 million Ponzi scheme The Securities Exchange Commission filed a civil complaint today against five individuals and three entities in a massive Ponzi scheme involving $102 mil...
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