LUFRANO LAW, LLC

The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Morgan Stanley and current Wells Fargo...

Former UBS financial advisor, Alex Gerardo Herrera (Herrera), recently settled allegations with the Financial Industry Regulatory...

Robert Edward White (White) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s Code of...

The Financial Industry Regulatory Authority (FINRA) recently announced Ethan De Naray (De Naray) entered into a Letter of Acceptance,...

Former GWN Securities financial advisor, Clarence L McGill (McGill), recently settled allegations with the Financial Industry Regulatory...

Former First American financial advisor, Steven F Coffey (Coffey), recently settled allegations with the Financial Industry Regulatory...

The Financial Industry Regulatory Authority (FINRA) recently announced Eric Steven Korhut (Korhut) entered into a Letter of Acceptance,...

Former FWG financial advisor, Paul Edward Soll (Soll), recently settled allegations with the Financial Industry Regulatory Authority...

Mitchell Toby Yanow (Yanow) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s Code of...

The Financial Industry Regulatory Authority’s (FINRA) Department of Enforcement filed a complaint against former financial advisor,...

The Financial Industry Regulatory Authority (FINRA) recently announced Daniel B. Irving (Irving) entered into a Letter of Acceptance,...

Former Capital Financial financial advisor, Steven Roland Knuttila (Knuttila), recently settled allegations with the Financial Industry...

Former Raymond James financial advisor, Taek Man Chong (Chong), recently settled allegations with the Financial Industry Regulatory...

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

Former First Allied financial advisor, Sean Aaron Brady (Brady), recently settled allegations with the Financial Industry Regulatory...

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

Kevin Edward Looser (Looser), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA),...

Former Sandlapper Financial advisor, Kyusun Kim (Kim), recently faced a department of enforcement action in connection with his...

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

What is Securities Fraud? Securities fraud is any deceptive act relating to the purchase, sale or manipulation of securities. Securities...