Insights
July 24, 2014
The SEC approved a new FINRA rule that will make it hard for brokers to delete customer complaints from their records in arbitration cases. Rule 2081 will prevent brokers from making settlements with ...
July 23, 2014
A federal judge in New York ruled this week that Citigroup would not have to face FINRA arbitration regarding claims that its stock dropped precipitously after it hid securitized-loan losses because a...
July 22, 2014
Natural Blue Resources Inc., a company cofounded by Nancy Pelosi’s son, Paul Pelosi Jr., was charged with securities fraud last week after the SEC discovered that two convicted criminals were at...
July 18, 2014
Richard S. Frankowski Managing Partner Call on 012-345-6789 Email enquiries@emaildomain.co.uk Praesent bibendum orci ante, a ullamcorper metus aliquam et. Suspendisse id lacinia libero. Vivamus fauci...
July 17, 2014
The U.S. Court of Appeals for the Second Circuit has dismissed an appeal involving the settlement of class action securities claims pertaining to the Bernie Madoff Ponzi scheme. The claims, having bee...
July 16, 2014
Bill Turner, a New Mexico insurance broker, pleaded guilty last week to thirteen counts of securities fraud and one count of conspiracy to commit securities fraud in a plea bargain. He had originally ...
July 15, 2014
Dean Mustaphalli, a former broker at Sterne Agee Financial Services Inc., is looking at a potential expulsion. According to FINRA, Mustaphalli ran a $6 million hedge fund, Mustaphalli Capital Partners...
July 14, 2014
In July 2010, President Barack Obama signed into federal law the Dodd–Frank Wall Street Reform and Consumer Protection Act, which provided the SEC with the power to create a rule that would mandate al...
July 9, 2014
About the Frankowski Firm “The primary goal of our law firm is to provide service to those who do not have a voice and need strong, courageous representation.”—Richard Frankowskihttps://franko.tequp.i...
July 8, 2014
Last week, the SEC charged five traders for committing short selling violations in the course of trading both for themselves and on behalf of Worldwide Capital Inc. Worldwide Capital is a proprietary ...
July 7, 2014
Last week, FINRA barred Kenneth Ronald Allen from the securities industry. Allen, who was once an equity trader at First New York Securities L.L.C., was found to be trading Japanese securities because...
July 1, 2014
FINRA fined Goldman Sachs Execution & Clearing, L.P. $800,000 for failing to have reasonably designed written policies and procedures established to stop trade-throughs of protected quotations in ...
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