LUFRANO LAW, LLC

The Financial Industry Regulatory Authority (FINRA) sanctioned Dennis D. Herrera (CRD No. 4618370) for engaging in excessive and...

The Financial Industry Regulatory Authority (FINRA) sanctioned Joseph Kelly (CRD No. 4560737) for engaging in excessive and...

The Financial Industry Regulatory Authority (FINRA) sanctioned Antonio Molinos (CRD No. 2764977) for engaging in excessive and unsuitable...

The Financial Industry Regulatory Authority (FINRA) permanently barred Ruben Rojas-Salvador (CRD No. 7801564) from associating with any...

The Financial Industry Regulatory Authority (FINRA) sanctioned Brandon Larsen (CRD No. 6192239) for exercising discretionary authority in...

The Financial Industry Regulatory Authority (FINRA) sanctioned Joseph Warner Rozof (CRD No. 5274784) for engaging in unauthorized...

The Financial Industry Regulatory Authority (FINRA) sanctioned Mack Leon Miller (CRD No. 2822317) for excessively trading the accounts of...

The Financial Industry Regulatory Authority (FINRA) sanctioned Brenton Ditto (CRD No. 4779103) for recommending a complex and unsuitable...

According to the Financial Industry Regulatory Authority (FINRA), William C. Burks II (CRD No. 2944992) engaged in misconduct by...

According to the Financial Industry Regulatory Authority (FINRA), former general securities representative Zachary Ellis Taylor (CRD No....

Tiffany Anne Keigley allegedly violated FINRA Rules 3260(b) and 2010 by exercising discretion in customer accounts without written...

Eric A. Dupre allegedly violated FINRA Rules 3240 and 2010 by borrowing more than $2.2 million from two customers without providing prior...

Donald Franklin Spivey allegedly violated FINRA Rules 8210 and 2010 when he refused to appear for on-the-record testimony requested by...

Andrew S. Mack allegedly violated FINRA Rules 3260(b) and 2010 by exercising discretion without written authorization in approximately...

Venugopal R. Reddy allegedly violated FINRA Rules 3280 and 2010 by participating in private securities transactions without providing...

Jeffrey Alan Arbeit allegedly violated FINRA Rules 8210 and 2010 by refusing to provide documents and information requested by FINRA...

Jose Anthony Quinones allegedly violated FINRA Rules 8210 and 2010 by refusing to provide documents and information requested by FINRA...

John Timothy Rice allegedly violated FINRA Rules 5270 and 2010 by sharing material non-public information about imminent customer block...

Donald J. Everhart allegedly recommended an unsuitable investment to a retail customer, in violation of Regulation Best Interest (Reg BI)...

Network 1 Financial Securities, Inc. allegedly violated FINRA Rules 3110, 2210, and 2010 by failing to reasonably supervise a sales...