Insights
April 20, 2016
Guy Gentile of Putnam Valley, New York allegedly ran a $17 million pump-and-dump stock scheme. Gentile faces federal counts of securities fraud and conspiracy to commit securities fraud. He was indict...
April 14, 2016
The Frankowski Firm is investigating ex-broker Jerry McCutchen. If you purchased real estate investment trusts (“REITs”) from him and lost money, you may have grounds to bring a securities...
April 12, 2016
According to FINRA’s BrokerCheck, broker John Prinzivalli has been the subject of two churning complaints since 2010. Other complaints against Prinzivalli have alleged a number of securities law...
April 8, 2016
The Frankowski Firm is investigating complaints regarding Texas-based Cetera Advisors broker James Hayne (CRD# 3257845). He has spent sixteen years in the securities industry and has been registered w...
April 5, 2016
FINRA charged David Randall Lockey, a former broker, with profiting as a result of improper trading of customer accounts over a span of nearly two years. According to FINRA’s complaint, Lockey “...
March 24, 2016
Guy Gentile, the owner of a New York broker-dealer, has been charged with fraudulently inflating the price of two micro-cap stocks before selling them to investors, creating $17.2 million in gross tra...
March 17, 2016
Broker Edward Beyn allegedly received over $1.7 million in commissions and fees by excessively trading his clients’ accounts, or “churning,” while he was a registered representative ...
March 17, 2016
Jeffrey Eldred Gallagher of Bradenton Beach, Florida was sentenced in Springfield, Massachusetts for an investment scheme that defrauded victims out of over $600,000 from 2008 to 2012. According to U....
March 16, 2016
The Frankowski Firm is investigating claims pertaining to Angel E. Aquino-Velez of Miami, Florida, who has been registered with Morgan Stanley since February 2010. Aquino has also been registered with...
March 15, 2016
The Frankowski Firm is investigating Laidlaw broker Ahmad Wares of New York. Wares is the target of several customer complaints, and Ware’s clients who lost money investing with him may be able ...
March 11, 2016
Claus Foerster, an ex-broker from South Carolina, was indicted by a grand jury for bilking customers out of $2.8 million during a fourteen-year span. Foerster operated his scheme from 2000 to 2014 whi...
March 9, 2016
Michael Oppenheim, a former JPMorgan Chase & Co. broker who claims to have thieved millions of dollars from clients because his brain was “hijacked” by an addiction to gambling on spo...
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