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Trident Partners Censured and Fined for Inadequate Steepener Supervision
The Financial Industry Regulatory Authority (FINRA) recently announced it censured and fined Trident Partners, Ltd. (“Trident”). FINRA...
Christopher Lufrano
2 min read
FINRA Suspends Cetera Broker Christopher Hickman for Unsuitable Short-Term UIT Investment Recommenda
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Cetera financial advisor Christopher...
Christopher Lufrano
2 min read
Former Merrill Lynch Broker Blake King Barred for Failing to Cooperate with Investigation involving
Merrill Lynch financial advisor, Blake P. King (King), recently settled allegations with the Financial Industry Regulatory Authority...
Christopher Lufrano
2 min read
Coastal Equities Censured and Fined for Non-Traditional ETF Supervision
The Financial Industry Regulatory Authority (FINRA) recently announced it censured and fined Coastal Equities, Inc. (“Coastal Equities”)....
Christopher Lufrano
2 min read
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,...
Christopher Lufrano
2 min read
Geraldine Gordon Disciplined for Speculative Energy Investment Recommendation
Financial advisor, Geraldine Gordon (Gordon), recently submitted a Letter of Acceptance, Waiver and Consent (“AWC”) to the Financial...
Christopher Lufrano
2 min read
James R. Schaedler Barred for Failing to Cooperate with Investigation involving Elderly Client’s Est
Former Wells Fargo financial advisor, James R. Schaedler, Jr. (Schaedler), recently consented to a permanent bar from the Financial...
Christopher Lufrano
2 min read
James Flower Suspended for Unsuitable VIX Short Term Futures Recommendations
Financial advisor, James William Flower (Flower), recently faced a department of enforcement action in connection with his recommendation...
Christopher Lufrano
2 min read
Former Bolton Global Broker Paul Smith Barred for Failing to Cooperate with Investigation involving
Bolton Global financial advisor, Paul Wescoe Smith (Smith), recently settled allegations with the Financial Industry Regulatory Authority...
Christopher Lufrano
2 min read
Pruco Securities Broker Zena Yofonovich Disciplined for Borrowing from Elderly Customer
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action against registered representative Zena Yofonovich...
Christopher Lufrano
2 min read
FINRA Suspends Former Source Capital Broker Daniel Bailey for Unsuitable Investment Recommendations
Daniel P. Bailey (Bailey) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s Code of...
Christopher Lufrano
2 min read
How to Recover Investment Losses through FINRA Arbitration in Seven Steps (or Less)
Recover Investment Losses through FINRA Arbitration in Seven Steps (or Less) FREE CONSULTATION When you first contact Lufrano Law, LLC,...
Christopher Lufrano
3 min read
Former PFS Investments Broker Diego Jimenez Disciplined for Mutual Fund Recommendations without Regi
Diego Jimenez (Jimenez) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s Code of...
Christopher Lufrano
2 min read
FINRA Suspends Investors Capital Broker Robert Estevez for Unsuitable Structured Products
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint (Disc. Proceeding No. 2014040158902) against Investors...
Christopher Lufrano
2 min read
Former LPL Broker Russell Sadler Disciplined for Outside Business Activities and Private Securities
Russell Leo Sadler (Sadler), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA),...
Christopher Lufrano
2 min read
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