LUFRANO LAW, LLC

  • HOME

  • ABOUT

    • ATTORNEY PROFILE
  • PRACTICE AREAS

    • REAL ESTATE CLOSINGS
    • INVESTMENT LITIGATION
    • ESTATE PLANNING
  • REVIEWS

  • BLOG

  • CONTACT

  • More

    Use tab to navigate through the menu items.

    Lufrano Law, LLC

     

    BLOG

    • All Posts
    • Investments
    • Discretion
    • Outside Business Activity
    • Supervision
    • Unauthorized Trades
    • Mutual Funds
    • REITs
    • Unit Investment Trust
    • Credit Suisse
    • Foothill Securities
    • LPL Financial
    • Merrill Lynch
    • MetLife
    • National Securities Corp
    • Raymond James
    • Voya Financial
    • Wells Fargo
    • First Allied
    • Stifel Nicolaus
    • Edward Jones
    • Pruco Securities
    • Borrow
    • Private Securities Transaction
    • Global Arena
    • ETN / ETFs
    • Master Limited Partnership
    • Ameriprise Financial
    • Cetera Advisors
    • Morgan Stanley
    • Oppenheimer
    Search
    FINRA Suspends Wells Fargo Broker Richard Hughes for Unsuitable Short-Term UIT Investment Recommenda
    Staff Attorney
    • Dec 7, 2018
    • 2 min

    FINRA Suspends Wells Fargo Broker Richard Hughes for Unsuitable Short-Term UIT Investment Recommenda

    The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Wells Fargo financial advisor Richard S....
    1 view0 comments
    FINRA Suspends Wells Fargo Broker Lloyd Layton for Unsuitable Short-Term UIT Investment Recommendati
    Staff Attorney
    • Oct 12, 2018
    • 2 min

    FINRA Suspends Wells Fargo Broker Lloyd Layton for Unsuitable Short-Term UIT Investment Recommendati

    The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Morgan Stanley and current Wells Fargo...
    8 views0 comments
    Financial Advisor Scott Wallach Suspended for Discretionary Trades in Customer’s Accounts
    Staff Attorney
    • Dec 18, 2017
    • 2 min

    Financial Advisor Scott Wallach Suspended for Discretionary Trades in Customer’s Accounts

    The Financial Industry Regulatory Authority (FINRA) recently announced Scott Jason Wallach (Wallach) entered into a Letter of Acceptance,...
    6 views0 comments
    James R. Schaedler Barred for Failing to Cooperate with Investigation involving Elderly Client’s Est
    Staff Attorney
    • Nov 17, 2017
    • 2 min

    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...
    1 view0 comments
    Staff Attorney
    • Feb 18, 2017
    • 2 min

    Former Wells Fargo Broker Robert Batchen Suspended for Unauthorized and Unsuitable Trades in Custome

    The Financial Industry Regulatory Authority (FINRA) recently announced Robert James Batchen (Batchen) entered into a Letter of...
    2 views0 comments
    17 (2)_edited.png

    INFO

    CONNECT

    • Facebook - White Circle
    • LinkedIn - White Circle
    • Yelp - White Circle
    • Google+ - White Circle
    SPEAK TO AN ATTORNEY TODAY!
    • HOME
    • ABOUT
      • ATTORNEY PROFILE
    • PRACTICE AREAS
      • REAL ESTATE CLOSINGS
      • INVESTMENT LITIGATION
      • ESTATE PLANNING
    • REVIEWS
    • BLOG
    • CONTACT

    818 Harrison Street, Suite 210

    Oak Park, IL 60304 

    clufrano@lufranolaw.com

    Tel: 800.627.2179

    Local: 708.628.3380 

    Fax: 844.721.6019

    © 2019 Lufrano Law, LLC | Disclaimer | Site Map