Insights
July 2, 2021
Michael Ecker, a stockbroker in Concorde Investment Services’ Wellington, FL branch office, has been named in two customer disputes filed with the Financial Industry Regulatory Authority (“...
June 4, 2021
Former LPL Financial representative Matthew Clason waived his right to be indicted and pleaded guilty to one count of wire fraud related to his misappropriation of more than $600,000 from an elderly i...
June 2, 2021
Pitney Bowes company has drawn multiple consumer complaints from customers who have cancelled their Pitney Bowes contracts only for the company to continue to charge their credit card. Pitney Bowes is...
May 12, 2021
The Securities and Exchange Commission (“SEC”) announced on April 26, 2021 , that it filed an emergency action and obtained an asset freeze to stop an alleged ongoing fraudulent Ponzi scheme. The SEC ...
April 9, 2021
An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) has entered a $4.6 million award against Interactive Brokers and Charles Schwab in a case brought by over two dozen custo...
April 6, 2021
The SEC has charged Aequitas Capital Management and a number of its executives with allegedly running a Ponzi scheme, which could have defrauded Oregon investors out of $350 million. The Frankowski Fi...
April 6, 2021
The Frankowski Firm is currently investigating claims of unsuitable and misrepresented sales of Puerto Rican municipal bonds by Wedbush Securities and stockbroker Mark Augusta. The NYSE regulatory bod...
April 6, 2021
MML Investors Services Broker Brian Michael Travers has been barred by FINRA for failing to cooperate with their investigation into claims of undisclosed outside business activities and private securi...
April 6, 2021
Stock broker Charles Fackrell, of Yadkinville, North Carolina, used to work for LPL Financial, LLC. He was permanently barred by FINRA in February 2015, after he failed to cooperate in FINRA’s investi...
April 6, 2021
The SEC has announced it will bring charges against the Woodbridge Group and its founder, Robert Shapiro, for a $1.2 billion Ponzi scheme. The Frankowski Firm is currently accepting cases on behalf of...
April 6, 2021
Puerto Rico municipal bonds have been rated as “junk” bonds by Standard and Poor, and investors have lost thousands of dollars as a result. The Frankowski Firm is currently investigating customer clai...
April 6, 2021
The Frankowski Firm is investigating claims of broker fraud and mismanagement that has led to significant losses and excessive fees in employee 401(k) retirement plans. We invite you to learn more....
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