Selling Away

Lufrano Law, LLC

Staff Attorney

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)...

Staff Attorney

Financial Advisor Bradley Tennison Barred for “Selling Away” an Investment

Former Geneos Wealth Management financial advisor, Bradley Joseph Tennison (Tennison), recently settled allegations with the Financial...

Staff Attorney

Selling Away and Outside Business Activity Claims

What is "Selling Away"? "Selling away" refers to the inappropriate and unethical practice in the financial industry where a financial...

Staff Attorney

Financial Advisor Dennis Farrah Barred for Selling Away and Failing to Cooperate with FINRA Investig

Former Taylor Capital financial advisor, Dennis Mitchell Farrah (Farrah), was barred from the Financial Industry Regulatory Authority...

Staff Attorney

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

Former Securities America Broker Michael Crowe Disciplined for Private Securities Transactions

In October 2017, Michael A. Crowe (Crowe), a registered representative, settled a complaint with the Financial Industry Regulatory...