LUFRANO LAW, LLC

Michael Milad Tanha (Tanha), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA)...

Anselmo Contreras, Jr. (Contreras) accepted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s...

The Financial Industry Regulatory Authority (FINRA) recently announced Steven Elliot Zerbarini (Zerbarini) entered into a Letter of...

James Bradley Schwartz (Schwartz), recently faced a department of enforcement action in connection with allegations he churned (i.e....

Former LPL Financial financial advisor, James C. Bylenga (Bylenga), recently settled allegations with the Financial Industry Regulatory...

Former David A. Noyes & Company financial advisor, Sam Aziz (Aziz), recently settled allegations with the Financial Industry Regulatory...

The Financial Industry Regulatory Authority (FINRA) brought an enforcement action against registered representative Corey Lee Mireau...

The Financial Industry Regulatory Authority (FINRA) recently announced James B. Eichner, Jr. (Eichner) entered into a Letter of...

Former Moors & Cabot financial advisor, Robert Todd Clark (Clark), recently settled allegations with the Financial Industry Regulatory...

Former Mutual of Omaha Investor Services, Inc. financial advisor, Edward Earl Mattes (Mattes), recently settled allegations with the...

All financial advisors and brokerage firms have a fundamental responsibility to deal fairly with their clients, including communicating...

The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Wells Fargo financial advisor Richard S....

Former AISG financial advisor, Thomas Joseph Logue, Jr. (Logue), recently settled allegations with the Financial Industry Regulatory...

Suitability Analysis Financial advisors have a duty to their clients to recommend suitable investments and investment strategies. There...

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

The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against Brian Lawrence Stephan (Stephan) in connection...

Daniel Noah Winger (Dufresne) Winger a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s Code of...

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

Former Chelsea Financial financial advisor, Charles Lewis Bloom (Bloom), recently settled allegations with the Financial Industry...

The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Morgan Stanley and current Wells Fargo...