Insights
August 13, 2014
On Monday, the SEC accused the state of Kansas of securities fraud, alleging that it failed to disclose funding problems with its public pension when it held bond offerings in 2009 and 2010. Kansas is...
August 12, 2014
A $5 million putative class of plaintiffs accusing UBS AG of soliciting to elderly investors risky mutual funds that ended up losing billions asked a Puerto Rico federal court last week to block UBS&#...
August 11, 2014
Last Friday, a federal jury from the Middle District of Florida found that Edward Hayter, the CEO and president of BIH Corp., ran a pump-and-dump scheme, selling unregistered shares of stock in the re...
August 8, 2014
Matthew Sarad of Bakersfield, California, the founder and former CEO of Telomolecular Corp., pleaded guilty to securities fraud on Wednesday in a Sacramento federal court. Telomolecular Corp. was prof...
August 7, 2014
Bank of America is in talks to settle an investigation into its role in the sale of mortgage-backed securities before the 2008 financial crisis and could pay between $16 and $17 billion, making it the...
August 6, 2014
The U.S. Securities and Exchange Commission (SEC) achieved a major legal victory when a federal jury found a Virginia-based brokerage subsidiary and its CEO liable for $70 million in connection with a...
August 5, 2014
Case Results While a small boutique firm, The Frankowski Firm will not back down from a fight. Our securities fraud attorneys will go against even the largest brokerage firms all over the country. Bel...
August 5, 2014
Last month, Michael T. Rand was found guilty of conspiracy to commit securities fraud, making false and misleading statements to auditors and accountants, circumventing internal accounting controls, a...
August 4, 2014
Case Results While a small boutique firm, The Frankowski Firm will not back down from a fight. Our securities fraud attorneys will go against even the largest brokerage firms all over the country. Bel...
July 31, 2014
Case Results While a small boutique firm, The Frankowski Firm will not back down from a fight. Our securities fraud attorneys will go against even the largest brokerage firms all over the country. Our...
July 30, 2014
On Monday, FINRA charged a New York broker-dealer, as well as a number of current and past registered representatives, with churning customer accounts and other illicit actions the resulted in signifi...
July 29, 2014
UBS AG is being formally investigated for money laundering by French officials, who ordered the bank to post €1.1 billion ($1.49 billion) bail amidst a growing investigation into claims that it assist...
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