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    Search
    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
    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
    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
    Financial Advisor Alex Herrera Barred for Outside Business Activities and Private Transactions
    Staff Attorney
    • Oct 12, 2018
    • 2 min

    Financial Advisor Alex Herrera Barred for Outside Business Activities and Private Transactions

    Former UBS financial advisor, Alex Gerardo Herrera (Herrera), recently settled allegations with the Financial Industry Regulatory...
    2 views0 comments
    Former Broker Robert White Suspended for Accepting Gifts from Customer
    Staff Attorney
    • Oct 11, 2018
    • 1 min

    Former Broker Robert White Suspended for Accepting Gifts from Customer

    Robert Edward White (White) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s Code of...
    3 views0 comments
    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,...
    2 views0 comments
    Financial Advisor Clarence McGill Barred for Unsuitable Investment Recommendations to Customers
    Staff Attorney
    • Oct 9, 2018
    • 2 min

    Financial Advisor Clarence McGill Barred for Unsuitable Investment Recommendations to Customers

    Former GWN Securities financial advisor, Clarence L McGill (McGill), recently settled allegations with the Financial Industry Regulatory...
    1 view0 comments
    Financial Advisor Steven Coffey Barred for Promissory Notes Sold to Customers
    Staff Attorney
    • Oct 9, 2018
    • 2 min

    Financial Advisor Steven Coffey Barred for Promissory Notes Sold to Customers

    Former First American financial advisor, Steven F Coffey (Coffey), recently settled allegations with the Financial Industry Regulatory...
    1 view0 comments
    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,...
    8 views0 comments
    Financial Advisor Paul Soll Barred for Unsuitable Trades in Elderly Customer’s Account
    Staff Attorney
    • Oct 2, 2018
    • 2 min

    Financial Advisor Paul Soll Barred for Unsuitable Trades in Elderly Customer’s Account

    Former FWG financial advisor, Paul Edward Soll (Soll), recently settled allegations with the Financial Industry Regulatory Authority...
    1 view0 comments
    Stifel, Nicolaus Broker Michael Yanow Barred for Conversion of Customer Funds
    Staff Attorney
    • Oct 2, 2018
    • 2 min

    Stifel, Nicolaus Broker Michael Yanow Barred for Conversion of Customer Funds

    Mitchell Toby Yanow (Yanow) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s Code of...
    1 view0 comments
    Robert Russel Tweed Barred from the Financial Industry for Negligent Misrepresentations
    Staff Attorney
    • Oct 2, 2018
    • 2 min

    Robert Russel Tweed Barred from the Financial Industry for Negligent Misrepresentations

    The Financial Industry Regulatory Authority’s (FINRA) Department of Enforcement filed a complaint against former financial advisor,...
    1 view0 comments
    Former FSC Securities Financial Broker Daniel Irving Suspended for Mismarking Solicited Trades in Cu
    Staff Attorney
    • Oct 1, 2018
    • 2 min

    Former FSC Securities Financial Broker Daniel Irving Suspended for Mismarking Solicited Trades in Cu

    The Financial Industry Regulatory Authority (FINRA) recently announced Daniel B. Irving (Irving) entered into a Letter of Acceptance,...
    1 view0 comments
    Financial Advisor Steven Knuttila Barred for Alleged Unsuitable Transactions
    Staff Attorney
    • Oct 1, 2018
    • 2 min

    Financial Advisor Steven Knuttila Barred for Alleged Unsuitable Transactions

    Former Capital Financial financial advisor, Steven Roland Knuttila (Knuttila), recently settled allegations with the Financial Industry...
    15 views0 comments
    Financial Advisor Taek Man Chong Barred for Failing to Cooperate with FINRA Investigation
    Staff Attorney
    • Sep 28, 2018
    • 2 min

    Financial Advisor Taek Man Chong Barred for Failing to Cooperate with FINRA Investigation

    Former Raymond James financial advisor, Taek Man Chong (Chong), recently settled allegations with the Financial Industry Regulatory...
    2 views0 comments
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