Discretion

Lufrano Law, LLC

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Nov 10, 2018
2 min

Financial Advisor Richard Yada Disciplined for Hundreds of Discretionary Trades in Customers’ Accoun

The Financial Industry Regulatory Authority (FINRA) recently announced Richard H. Yada (Yada) entered into a Letter of Acceptance, Waiver...

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Financial Advisor Jonathan Iraggi Suspended for Discretionary Trades in Customer’s Account

Staff Attorney

Oct 25, 2018
2 min

Financial Advisor Jonathan Iraggi Suspended for Discretionary Trades in Customer’s Account

The Financial Industry Regulatory Authority (FINRA) recently announced Jonathan William Iraggi (Iraggi) entered into a Letter of...

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Financial Advisor Ethan De Naray Suspended for Discretionary Trades in Customer’s Account

Staff Attorney

Oct 11, 2018
2 min

Financial Advisor Ethan De Naray Suspended for Discretionary Trades in Customer’s Account

The Financial Industry Regulatory Authority (FINRA) recently announced Ethan De Naray (De Naray) entered into a Letter of Acceptance,...

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Financial Advisor Eric Korhut Suspended for Discretionary Trades in Customers’ Accounts

Staff Attorney

Oct 5, 2018
2 min

Financial Advisor Eric Korhut Suspended for Discretionary Trades in Customers’ Accounts

The Financial Industry Regulatory Authority (FINRA) recently announced Eric Steven Korhut (Korhut) entered into a Letter of Acceptance,...

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Financial Advisor Coleman Devlin Suspended for Discretionary Trades in Customers’ Accounts

Staff Attorney

Dec 27, 2017
2 min

Financial Advisor Coleman Devlin Suspended for Discretionary Trades in Customers’ Accounts

The Financial Industry Regulatory Authority (FINRA) recently announced Coleman J. Devlin (Devlin) entered into a Letter of Acceptance,...

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Financial Advisor Scott Wallach Suspended for Discretionary Trades in Customer’s Accounts

Staff Attorney

Dec 18, 2017
2 min

Financial Advisor Scott Wallach Suspended for Discretionary Trades in Customer’s Accounts

The Financial Industry Regulatory Authority (FINRA) recently announced Scott Jason Wallach (Wallach) entered into a Letter of Acceptance,...

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Financial Advisor Joel Davidman Suspended for Discretionary Trades in Customers’ Accounts

Staff Attorney

Dec 5, 2017
2 min

Financial Advisor Joel Davidman Suspended for Discretionary Trades in Customers’ Accounts

The Financial Industry Regulatory Authority (FINRA) recently announced Joel David Davidman (Davidman) entered into a Letter of...

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Former H. Beck Broker Peter Doyle Barred for Failing to Cooperate with Investigation involving Discr

Staff Attorney

Nov 30, 2017
2 min

Former H. Beck Broker Peter Doyle Barred for Failing to Cooperate with Investigation involving Discr

H. Beck financial advisor, Peter J. Doyle (Doyle), recently settled allegations with the Financial Industry Regulatory Authority (FINRA)...

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Financial Advisor Stephen Kaufman Suspended for Discretionary Trades in Customers’ Accounts

Staff Attorney

Nov 20, 2017
2 min

Financial Advisor Stephen Kaufman Suspended for Discretionary Trades in Customers’ Accounts

The Financial Industry Regulatory Authority (FINRA) recently announced Stephen J. Kaufman (Kaufman) entered into a Letter of Acceptance,...

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Former First Allied Broker Larry Farmbry Suspended for Discretionary Trades in Customers’ Accounts

Staff Attorney

Aug 3, 2017
2 min

Former First Allied Broker Larry Farmbry Suspended for Discretionary Trades in Customers’ Accounts

The Financial Industry Regulatory Authority (FINRA) recently announced Larry W. Farmbry (Farmbry) entered into a Letter of Acceptance,...

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Former Voya Financial Broker Rodger Burskey Barred for Failing to Cooperate with Investigation invol

Staff Attorney

Jul 13, 2017
2 min

Former Voya Financial Broker Rodger Burskey Barred for Failing to Cooperate with Investigation invol

Former Voya Financial broker, Rodger James Burskey (Burskey), recently settled allegations with the Financial Industry Regulatory...

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Petersen Investments Broker John F. Valliades Suspended for Discretionary Trades in Customers’ Accou

Staff Attorney

Jun 9, 2017
2 min

Petersen Investments Broker John F. Valliades Suspended for Discretionary Trades in Customers’ Accou

The Financial Industry Regulatory Authority (FINRA) recently announced John Fotis Valliades (Valliades) entered into a Letter of...

2 views0 comments

Staff Attorney

Apr 8, 2017
2 min

Former Credit Suisse Broker Kai Chen Suspended for Unauthorized Trades in Customers’ Accounts

The Financial Industry Regulatory Authority (FINRA) recently announced Kai Chen (Chen) entered into a Letter of Acceptance, Waiver and...

1 view0 comments

LUFRANO LAW, LLC

Lufrano Law, LLC

BLOG

Financial Advisor Richard Yada Disciplined for Hundreds of Discretionary Trades in Customers’ Accoun

Financial Advisor Jonathan Iraggi Suspended for Discretionary Trades in Customer’s Account

Financial Advisor Ethan De Naray Suspended for Discretionary Trades in Customer’s Account

Financial Advisor Eric Korhut Suspended for Discretionary Trades in Customers’ Accounts

Financial Advisor Coleman Devlin Suspended for Discretionary Trades in Customers’ Accounts

Financial Advisor Scott Wallach Suspended for Discretionary Trades in Customer’s Accounts

Financial Advisor Joel Davidman Suspended for Discretionary Trades in Customers’ Accounts

Former H. Beck Broker Peter Doyle Barred for Failing to Cooperate with Investigation involving Discr

Financial Advisor Stephen Kaufman Suspended for Discretionary Trades in Customers’ Accounts

Former First Allied Broker Larry Farmbry Suspended for Discretionary Trades in Customers’ Accounts

Former Voya Financial Broker Rodger Burskey Barred for Failing to Cooperate with Investigation invol

Petersen Investments Broker John F. Valliades Suspended for Discretionary Trades in Customers’ Accou

Former Credit Suisse Broker Kai Chen Suspended for Unauthorized Trades in Customers’ Accounts

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