SEC Archives - Page 2 of 9 - FrankowskiFirm Blog Posts

Dwayne Edwards Accused Of Fraud By SEC

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The SEC charged Dwayne Edwards with fraud and obtained an emergency asset freeze against the South […]

by Richard FrankowskiFraud, Legal Matters, Press Releases & News, SECFebruary 1 2017 Citigroup Advisory Unit Fined $18.3M

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Citigroup will pay $18.3 million to settle charges made by the SEC claiming that it overcharged […]

by Richard FrankowskiPress Releases & News, SECJanuary 31 2017 Michael J. Breton Banned For Cherry Picking Trades

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Michael J. Breton, a Massachusetts investment adviser who the SEC accused of securities fraud, has agreed […]

by Richard FrankowskiFraud, Legal Matters, Press Releases & News, SECJanuary 26 2017 FINRA January 2017 Disciplinary Actions

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by Richard FrankowskiBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECJanuary 24 2017 Richard Gearhart & George McKown Charged With Securities Fraud

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Richard Gearhart of Lowell, Indiana and George McKown of Indianapolis, Indiana have been indicted on fraud […]

by Richard FrankowskiFraud, Press Releases & News, SECJanuary 16 2017 Morgan Stanley Fined $13M By SEC

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The SEC announced today that Morgan Stanley agreed to pay a $13 million fine to resolve […]

by Richard FrankowskiLegal Matters, Press Releases & News, SECJanuary 13 2017 Gregory Dean And Donald Fowler Charged By SEC

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by Richard FrankowskiBroker Check, Fraud, Press Releases & News, SECJanuary 11 2017 John Rafal Barred From Securities Industry

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The SEC barred Connecticut investment adviser John Rafal for hiding a referral fee from a client […]

by Richard FrankowskiPress Releases & News, SECJanuary 10 2017 Ash Narayan Banned For Defrauding Pro Athletes

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Former financial adviser Ash Narayan agreed to be barred from associating with brokerage or advisory firms […]

by Richard FrankowskiFraud, Press Releases & News, SECDecember 30 2016 FINRA Files Complaint Against Dawn Bennett

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FINRA filed a complaint against Dawn Bennett for failing to testify in its investigation of possible […]

by Richard FrankowskiBroker Check, FINRA, Fraud, Legal Matters, Press Releases & News, SECDecember 2 2016