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    Search
    Merrill Lynch Broker Michael Tanha Receives Severe Suspension for Outside Business Activities and Pr
    Staff Attorney
    • Jun 27, 2019
    • 2 min

    Merrill Lynch Broker Michael Tanha Receives Severe Suspension for Outside Business Activities and Pr

    Michael Milad Tanha (Tanha), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA)...
    23 views0 comments
    Former Cambridge Broker Anselmo Contreras Barred for Stealing Funds From Customers
    Staff Attorney
    • Jun 27, 2019
    • 2 min

    Former Cambridge Broker Anselmo Contreras Barred for Stealing Funds From Customers

    Anselmo Contreras, Jr. (Contreras) accepted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s...
    14 views0 comments
    Steven Zerbarini (Former NEXT Financial FA) Disciplined for Discretionary Trades in Customers’ Accou
    Staff Attorney
    • Jun 21, 2019
    • 2 min

    Steven Zerbarini (Former NEXT Financial FA) Disciplined for Discretionary Trades in Customers’ Accou

    The Financial Industry Regulatory Authority (FINRA) recently announced Steven Elliot Zerbarini (Zerbarini) entered into a Letter of...
    7 views0 comments
    Former Aegis Financial Advisor James Bradley Schwartz Suspended for Churning (Excessive Trading) and
    Staff Attorney
    • Jun 21, 2019
    • 2 min

    Former Aegis Financial Advisor James Bradley Schwartz Suspended for Churning (Excessive Trading) and

    James Bradley Schwartz (Schwartz), recently faced a department of enforcement action in connection with allegations he churned (i.e....
    3 views0 comments
    Former LPL Financial Advisor James Bylenga Barred for Personal Loans with Customer
    Staff Attorney
    • Jun 21, 2019
    • 2 min

    Former LPL Financial Advisor James Bylenga Barred for Personal Loans with Customer

    Former LPL Financial financial advisor, James C. Bylenga (Bylenga), recently settled allegations with the Financial Industry Regulatory...
    5 views0 comments
    Former David A. Noyes Financial Advisor Sam Aziz Barred for Unsuitable and Excessive Trading
    Staff Attorney
    • Jun 18, 2019
    • 2 min

    Former David A. Noyes Financial Advisor Sam Aziz Barred for Unsuitable and Excessive Trading

    Former David A. Noyes & Company financial advisor, Sam Aziz (Aziz), recently settled allegations with the Financial Industry Regulatory...
    6 views0 comments
    Ameriprise Broker Corey Lee Mireau Disciplined for Undisclosed Personal Loans with Customers and Out
    Staff Attorney
    • Jun 1, 2019
    • 2 min

    Ameriprise Broker Corey Lee Mireau Disciplined for Undisclosed Personal Loans with Customers and Out

    The Financial Industry Regulatory Authority (FINRA) brought an enforcement action against registered representative Corey Lee Mireau...
    4 views0 comments
    Financial Advisor James B. Eichner, Jr. Disciplined for Discretionary Trades in Customers’ Accounts
    Staff Attorney
    • May 31, 2019
    • 2 min

    Financial Advisor James B. Eichner, Jr. Disciplined for Discretionary Trades in Customers’ Accounts

    The Financial Industry Regulatory Authority (FINRA) recently announced James B. Eichner, Jr. (Eichner) entered into a Letter of...
    3 views0 comments
    FINRA Bars Robert Todd Clark for Failing to Cooperate with Investigation Regarding Stolen Customer F
    Staff Attorney
    • May 11, 2019
    • 2 min

    FINRA Bars Robert Todd Clark for Failing to Cooperate with Investigation Regarding Stolen Customer F

    Former Moors & Cabot financial advisor, Robert Todd Clark (Clark), recently settled allegations with the Financial Industry Regulatory...
    6 views0 comments
    Financial Advisor Edward Earl Mattes Barred for Stealing Funds from Multiple Clients
    Staff Attorney
    • Apr 19, 2019
    • 2 min

    Financial Advisor Edward Earl Mattes Barred for Stealing Funds from Multiple Clients

    Former Mutual of Omaha Investor Services, Inc. financial advisor, Edward Earl Mattes (Mattes), recently settled allegations with the...
    4 views0 comments
    Unauthorized Trading Claims
    Staff Attorney
    • Dec 10, 2018
    • 2 min

    Unauthorized Trading Claims

    All financial advisors and brokerage firms have a fundamental responsibility to deal fairly with their clients, including communicating...
    3 views0 comments
    FINRA Suspends Wells Fargo Broker Richard Hughes for Unsuitable Short-Term UIT Investment Recommenda
    Staff Attorney
    • Dec 7, 2018
    • 2 min

    FINRA Suspends Wells Fargo Broker Richard Hughes for Unsuitable Short-Term UIT Investment Recommenda

    The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Wells Fargo financial advisor Richard S....
    1 view0 comments
    Former AISG Financial Advisor Thomas Logue Barred for Potential Violations of Federal Securities Law
    Staff Attorney
    • Nov 24, 2018
    • 2 min

    Former AISG Financial Advisor Thomas Logue Barred for Potential Violations of Federal Securities Law

    Former AISG financial advisor, Thomas Joseph Logue, Jr. (Logue), recently settled allegations with the Financial Industry Regulatory...
    4 views0 comments
    How to Sue Financial Advisor for Unsuitable Investments
    Staff Attorney
    • Nov 18, 2018
    • 2 min

    How to Sue Financial Advisor for Unsuitable Investments

    Suitability Analysis Financial advisors have a duty to their clients to recommend suitable investments and investment strategies. There...
    3 views0 comments
    Financial Advisor Richard Yada Disciplined for Hundreds of Discretionary Trades in Customers’ Accoun
    Staff Attorney
    • 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...
    3 views0 comments
    FINRA Brings Complaint against LPL Broker Brian Lawrence Stephan for Unsuitable Mutual Fund Recommen
    Staff Attorney
    • Oct 30, 2018
    • 2 min

    FINRA Brings Complaint against LPL Broker Brian Lawrence Stephan for Unsuitable Mutual Fund Recommen

    The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against Brian Lawrence Stephan (Stephan) in connection...
    4 views0 comments
    Former PFS Investments Broker Daniel Winger Barred for Stealing Funds From a Customer
    Staff Attorney
    • Oct 29, 2018
    • 2 min

    Former PFS Investments Broker Daniel Winger Barred for Stealing Funds From a Customer

    Daniel Noah Winger (Dufresne) Winger a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s Code of...
    4 views0 comments
    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...
    4 views0 comments
    Financial Advisor Charles Lewis Bloom Barred for Unsuitable Investment Recommendations to Customers
    Staff Attorney
    • Oct 16, 2018
    • 2 min

    Financial Advisor Charles Lewis Bloom Barred for Unsuitable Investment Recommendations to Customers

    Former Chelsea Financial financial advisor, Charles Lewis Bloom (Bloom), recently settled allegations with the Financial Industry...
    4 views0 comments
    FINRA Suspends Wells Fargo Broker Lloyd Layton for Unsuitable Short-Term UIT Investment Recommendati
    Staff Attorney
    • Oct 12, 2018
    • 2 min

    FINRA Suspends Wells Fargo Broker Lloyd Layton for Unsuitable Short-Term UIT Investment Recommendati

    The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Morgan Stanley and current Wells Fargo...
    8 views0 comments
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