Insights
June 26, 2012
The Eleventh Circuit reinstated an SEC enforcement action against Morgan Keegan & Co., holding that the Northern District of Georgia erred in granting summary judgment. In SEC v. Morgan Keegan &am...
June 26, 2012
According to a recent Reuters.com article, July 2, 2012 will be the launch date for a new FINRA program that will allow more flexibility in large arbitration cases. The new program will be for claims ...
June 26, 2012
A recent Reuters.com article explains the complex details of the new two FINRA rules coming into effect on July 2, 2012. FINRA’s Know Your Customer Rule and Suitability Rule require firms to use...
June 26, 2012
According to a Business Standard.com article , former broker Gurudeo Persaud based investments off the lunar cycle. Persaud used an internet site that made market predictions based off gravitational p...
June 25, 2012
A Federal District Court Judge in Manhattan refused to dismiss the investor lawsuit alleging that Goldman Sachs made misleading statements regarding its ethical standards, the New York Times’ De...
June 22, 2012
Morgan Keegan must repay over $470,000 in financial losses of a group of RMK Fund investors, according to the June 13, 2012 Order of an arbitration panel of the Financial Industry Regulatory Authority...
June 4, 2012
The Frankowski Firm, LLC announces the commencement of an investigation into Alpha Natural Resources, Inc. (“ANR” or the “Company”) (NYSE: ANR) to determine whether it has viol...
June 4, 2012
The SEC approved two proposals to alter trading curbs meant to curtail volatility in the U.S. stock market, according to a Bloomberg.com article . A limit-up/limit-down system that prevents trades at ...
June 1, 2012
Atlanta Investment Fraud Attorneys At The Frankowski Firm, we stand as a beacon of trust and advocacy for investors who have been victimised by unethical brokers or investment advisors. With a steadfa...
May 31, 2012
The Volcker Rule restricts the ability of federally insured banks to trade for their own benefit, according to this article in the New York Times. The article states that with the large losses by bank...
May 30, 2012
The SEC has opened a preliminary investigation into the accounting practices of JP Morgan as well as into the company’s public disclosures about their trading, according to an article in the New...
May 22, 2012
According to a recent Atlantic Wire article, Morgan Stanley, JP Morgan and Goldman Sachs, the three banks that underwrote the Facebook IPO, all downgraded their IPO forecasts. Even more troubling is t...
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