Insights
February 5, 2016
The Frankowski Firm is currently investigating the possible wrongdoing of current UBS Financial Services broker Bradley Ross of Fort Lauderdale, Florida. According to FINRA’s BrokerCheck, Ross h...
February 1, 2016
The SEC will reach the end of its case today against a financial adviser who refuses to defend herself in the agency’s in-house enforcement proceeding, noting constitutional reasons. Dawn Bennet...
January 29, 2016
A Department of Labor rule that would raise investment advice standards for retirement accounts reached one step closer to being finalized last night. The DOL sent the measure to the Office of Managem...
January 28, 2016
Barry Carlton Taylor, operator of two companies in Franklin, North Carolina, pleaded guilty earlier this week to fraud by commodities pool operator and concealment of money laundering charges, after d...
January 25, 2016
Robert Scott Wiens of Lakewood, Colorado, a director a futures trading firm RXM Holdings Ltd., was sentenced last week to a year in prison and paid more than a quarter-million in restitution for secur...
January 22, 2016
The following is a list compiled by the North American Securities Administrators Association of the top financial products and practices that threaten to trap unwary investors and small business owner...
January 21, 2016
The Department of Labor is ready to advance as soon as the end of the month a final rule that would raise investment advice standards for retirement accounts. The department is trying to get the rule ...
January 15, 2016
The SEC has barred from the securities industry Aubrey Lee Price, an imprisoned former Georgia investment adviser who pleaded guilty in 2014 to a massive fraud that helped bring down his troubled bank...
January 14, 2016
The SEC charged Edward Durante, a recidivist securities law violator, with operating a multi-year offering fraud that targeted investors in New England, Ohio, and California. The SEC’s complaint alleg...
January 13, 2016
Last year, the SEC charged a Texas attorney with defrauding investors with regard to two securities offerings, one pertaining to an oil and gas exploration venture and the other a fracking water filtr...
January 12, 2016
The SEC issued a report evaluating the definition of “accredited investor” as part of its obligations under the Dodd-Frank Act. Perhaps most significantly, the report recommends modificati...
January 11, 2016
The biggest penalties FINRA levied last came from a wide variety of violations: Puerto Rico The Puerto Rico bond crisis was the source of a couple substantial FINRA actions. The regulator fined UBS Fi...
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