Supervision

Lufrano Law, LLC

Staff Attorney

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...

Staff Attorney

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”)....

Staff Attorney

Foothill Securities Censured and Fined for Real Estate Investment Trusts Supervision

The Financial Industry Regulatory Authority (FINRA) recently announced it censured and fined Foothill Securities Inc. (“Foothill”). ...