LUFRANO LAW, LLC

Vincent John Colletti allegedly engaged in unauthorized trading, exercised discretionary authority without prior written authorization,...

The Financial Industry Regulatory Authority (FINRA) barred Anthony G. Saab from associating with any FINRA member firm in all capacities....

According to the Financial Industry Regulatory Authority (FINRA), registered representative Joseph L. Tranchina engaged in excessive...

The Financial Industry Regulatory Authority (FINRA) sanctioned Anthony G. Saab for refusing to comply with its request for documents and...

Judah Spinner violated FINRA Rules 3280 and 2010 by engaging in 41 private securities transactions totaling over $1 million without...

Jody Vander Weide, a former Investment Company and Variable Contracts Products Representative, violated FINRA Rules 8210 and 2010 by...

Jose Anthony Navarro, formerly a General Securities Representative (CRD No. 2250454), violated several FINRA rules through his...

Nicholas Stovall, a former General Securities Representative with CRD No. 5581487, violated FINRA Rules 3280 and 2010 by engaging in...

Pinnacle Investments, LLC, a FINRA-registered broker-dealer, violated several industry rules, including Regulation Best Interest (Reg BI)...

Joseph J. Steward, a registered representative with CRD No. 3241331, violated multiple FINRA rules by engaging in excessive and...

Nicholas J. Schiano, a registered representative with Spartan Capital Securities, LLC, allegedly violated several key regulatory...

Justin R. Deiter, a former General Securities Representative, was found to have excessively traded the accounts of two retail clients—one...

Eduardo Leon, a General Securities Representative with CRD No. 2232647, violated multiple industry rules by recommending complex and...

Global Financial Services, L.L.C., a Houston-based broker-dealer, violated key supervisory obligations by failing to maintain a system...

Phillip C. Anderson, a former General Securities Representative with CRD No. 814936, violated FINRA Rules 2111 and 2010 by recommending...

James C. Etter violated industry standards by engaging in undisclosed private securities transactions and an unapproved outside business...

Michael Milad Tanha (Tanha), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA)...

Anselmo Contreras, Jr. (Contreras) accepted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s...

The Financial Industry Regulatory Authority (FINRA) recently announced Steven Elliot Zerbarini (Zerbarini) entered into a Letter of...

James Bradley Schwartz (Schwartz), recently faced a department of enforcement action in connection with allegations he churned (i.e....