Insights
June 17, 2020
Northwestern Mutual Investment Services, LLC, headquartered in Milwaukee, Wisconsin, has been fined and censured by FINRA for failing to establish, maintain, and enforce a supervisory system reasonabl...
June 10, 2020
Last month, investors filed a class action suit against blockchain software firm Block.one, alleging that the company defrauded investors through the sale of unregulated assets. Over the course of abo...
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 ...
May 16, 2020
The Financial Industry Regulatory Authority (“FINRA”) has permanently barred Staten Island, New York stockbroker Louis Cook from the securities industry based on findings that he fraudulently induced ...
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 23, 2020
Crude oil prices fell into negative territory this week for the first time in history. The negative pricing means that an investor with a long position in oil would have to pay someone to take their o...
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 7, 2020
The Financial Industry Regulatory Authority (“FINRA”) has barred former First Standard Financial, LLC representative Michael Leahy of Red Bank, New Jersey, based on FINRA’s findings that Leahy was awa...
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...
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