Private Securities Transaction

Lufrano Law, LLC

Staff Attorney

Jun 1, 20182 min read

SA Stone Wealth Management Broker Christopher Wendel Barred for Private Securities Transactions

Christopher Wendel (Wendel), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA),...

Staff Attorney

Nov 15, 20172 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...