LPL Financial

Lufrano Law, LLC

Staff Attorney

LPL Financial Broker Bradley Everett Gardner Barred for Conversion of Customer Funds

Bradley Everett Gardner (Gardner) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s...

Staff Attorney

Former LP Broker Terrence Diehl Disciplined for Private Securities Transactions

Terrence Jeffrey Diehl (Diehl), a registered representative, settled a complaint with the Financial Industry Regulatory Authority...

Staff Attorney

Former LPL Financial Broker Roger Zullo Barred for Failing to Cooperate with Fraud Investigation

LPL Financial financial advisor, Roger Salvatore Zullo (Zullo), recently settled allegations with the Financial Industry Regulatory...

Staff Attorney

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,...

Staff Attorney

Former LPL Broker Michael Babyak Disciplined for Private Securities transactions

In October 2016, Michael Babyak, Jr. II (Babyak), a registered representative, settled a complaint with the Financial Industry Regulatory...

Staff Attorney

Former LPL Broker Joseph Likens Barred for Failing to Cooperate with Investigation involving Private

Former LPL Financial broker, Joseph Alan Likens (Likens), recently settled allegations with the Financial Industry Regulatory Authority...

Staff Attorney

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),...