Insights
May 16, 2018
The Frankowski Firm is investigating potential claims against FINRA-expelled broker Thomas Alan Meier, of Miami, Florida, following Mr. Meier’s permanent bar from the securities industry based on find...
May 9, 2018
Wells Fargo will pay $480 million to resolve an investor class-action suit against the company, it was announced on Friday . The claims stemmed from allegations that the company, which is publicly tra...
May 8, 2018
The Financial Industry Regulatory Authority (“FINRA”) has announced a fine of $4 million and required an additional $2 million in restitutionary damages from Fifth Third Securities, Inc. for its failu...
May 7, 2018
The Frankowski Firm is investigating potential claims against FINRA-expelled broker Mark Kaplan, of Woodbury, New York, following Mr. Kaplan’s expulsion from the securities industry based on his exces...
March 8, 2018
The Frankowski Firm is investigating potential claims against FINRA-expelled broker David L. Barber, of San Diego, California, following Mr. Barber’s expulsion from the securities industry due to his ...
March 5, 2018
The Frankowski Firm is investigating potential claims against terminated Wells Fargo broker Jeffrey Palish, of Woodcliff Lake, New Jersey, following Mr. Palish’s arrest and termination from the securi...
January 4, 2018
The Frankowski Firm is investigating potential claims against Aequitas Capital Management of Lake Oswego, Oregon. The Securities and Exchange Commission has brought charges against Aequitas and three ...
December 28, 2017
The Frankowski Firm is investigating potential claims against MML Investors Services, Inc., of Springfield, Massachusetts. The firm has been the subject of ten regulatory actions within the past ten y...
December 23, 2017
Did you lose money investing with the Woodbridge Group? The Frankowski Firm can help The Securities and Exchange Commission (“SEC”) announced yesterday that it was bringing charges and freezing the as...
December 22, 2017
The Frankowski Firm is investigating potential claims against LPL Financial, LLC and its former broker Charles Fackrell, of Yadkinville, North Carolina, following a Financial Industry Regulatory Autho...
December 15, 2017
The Securities and Exchange Commission (“SEC”) has censured and fined Ameriprise Financial for its continued use of F-Squared AlphaSector strategies in its marketing to clients, even after learning th...
December 11, 2017
The Frankowski Firm is investigating potential claims against Morgan Stanley Smith Barney LLC, based on a $3.25 million fine and $9.78 million in customer restitution ordered by the Financial Industry...
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