Insights
February 22, 2016
Management of real estate investment trust United Development Funding IV, a hedge fund accused of operating as a Ponzi scheme, has been subpoenaed to turn over company documents to a grand jury. Last ...
February 19, 2016
The FBI raided the office of a Texas REIT, United Development Funding IV, this week. The firm saw its stock price drop 81% in the past two months after a hedge fund alleged it was operating for years ...
February 17, 2016
The Frankowski Firm is investigating complaints regarding and the termination of former Questar Capital Corporation advisor Kevin Wanner. The complaints allege that The North Dakota Securities Departm...
February 12, 2016
FINRA recently filed an amended complaint against Craig Scott Capital, LLC and its co-founders, Craig Scott Taddonio and Brent Morgan Porges, alleging, among other things, excessive trading, churning,...
February 11, 2016
FINRA has barred two Buffalo, New York advisers, Timothy S. Dembskyi and Walter F. Grenda, from the securities industry for broker fraud in relation to the sale of a hedge fund, the Prestige Wealth Ma...
February 10, 2016
FINRA issued a new investor alert warning that advertisements touting higher-than-average Certificate of Deposit yields might actually be a lure to trick investors into buying costly investments. R...
February 9, 2016
FINRA charged a broker for lying to a Native American tribe about the $11 million in commissions he charged when he sold the tribe $190 million in nontraded real estate investment trusts and business ...
February 8, 2016
Stephens, Inc. submitted a letter of Acceptance, Waiver, and Consent to FINRA for failing to apply sales charge discounts to certain customers’ eligible purchases of unit investment trusts (R...
February 5, 2016
The Frankowski Firm is currently investigating the possible wrongdoing of current UBS Financial Services broker Bradley Ross of Fort Lauderdale, Florida. According to FINRA’s BrokerCheck, Ross h...
February 4, 2016
In July 2014, Michael Winegar, formerly a broker with Wedbush Securities, allegedly convinced an elderly customer to pay him $100,000. Winegar told the 85-year-old customer that he would use th...
February 1, 2016
The Frankowski Firm is currently investigating the potential claims of people of who lost money investing with Glenn Guthrie, a former broker with Raymond James Financial Services in Birmingham, Alaba...
February 1, 2016
The SEC will reach the end of its case today against a financial adviser who refuses to defend herself in the agency’s in-house enforcement proceeding, noting constitutional reasons. Dawn Bennet...
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