Former H. Beck Broker Peter Doyle Barred for Failing to Cooperate with Investigation involving Discr
H. Beck financial advisor, Peter J. Doyle (Doyle), recently settled allegations with the Financial Industry Regulatory Authority (FINRA)...
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Staff Attorney
- Nov 30, 2017
- 2 min
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...
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Staff Attorney
- Nov 28, 2017
- 2 min
Former Oppenheimer Broker Jason Likens Disciplined for Borrowing from Elderly Customer
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action against registered representative Jason Hunter Likens...
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Staff Attorney
- Nov 28, 2017
- 1 min
Former Morgan Stanley Broker Anthony Verzi Barred for Failing to Cooperate with Investigation involv
Morgan Stanley financial advisor, Anthony Joseph Verzi (Verzi), recently settled allegations with the Financial Industry Regulatory...
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Staff Attorney
- Nov 22, 2017
- 2 min
FINRA Suspends Cetera Broker Christopher Hickman for Unsuitable Short-Term UIT Investment Recommenda
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Cetera financial advisor Christopher...
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Staff Attorney
- Nov 22, 2017
- 2 min
Former Merrill Lynch Broker Blake King Barred for Failing to Cooperate with Investigation involving
Merrill Lynch financial advisor, Blake P. King (King), recently settled allegations with the Financial Industry Regulatory Authority...
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Staff Attorney
- Nov 22, 2017
- 2 min
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”)....
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Staff Attorney
- Nov 20, 2017
- 2 min
Financial Advisor Stephen Kaufman Suspended for Discretionary Trades in Customers’ Accounts
The Financial Industry Regulatory Authority (FINRA) recently announced Stephen J. Kaufman (Kaufman) entered into a Letter of Acceptance,...
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Staff Attorney
- Nov 20, 2017
- 2 min
Geraldine Gordon Disciplined for Speculative Energy Investment Recommendation
Financial advisor, Geraldine Gordon (Gordon), recently submitted a Letter of Acceptance, Waiver and Consent (“AWC”) to the Financial...
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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...
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Staff Attorney
- Nov 17, 2017
- 2 min
James Flower Suspended for Unsuitable VIX Short Term Futures Recommendations
Financial advisor, James William Flower (Flower), recently faced a department of enforcement action in connection with his recommendation...
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Staff Attorney
- Nov 15, 2017
- 2 min
Former Bolton Global Broker Paul Smith Barred for Failing to Cooperate with Investigation involving
Bolton Global financial advisor, Paul Wescoe Smith (Smith), recently settled allegations with the Financial Industry Regulatory Authority...
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Staff Attorney
- Nov 15, 2017
- 2 min
Pruco Securities Broker Zena Yofonovich Disciplined for Borrowing from Elderly Customer
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action against registered representative Zena Yofonovich...
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Staff Attorney
- Nov 14, 2017
- 2 min
FINRA Suspends Former Source Capital Broker Daniel Bailey for Unsuitable Investment Recommendations
Daniel P. Bailey (Bailey) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s Code of...
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Staff Attorney
- Nov 10, 2017
- 3 min
How to Recover Investment Losses through FINRA Arbitration in Seven Steps (or Less)
Recover Investment Losses through FINRA Arbitration in Seven Steps (or Less) FREE CONSULTATION When you first contact Lufrano Law, LLC,...
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Staff Attorney
- Oct 17, 2017
- 2 min
Former PFS Investments Broker Diego Jimenez Disciplined for Mutual Fund Recommendations without Regi
Diego Jimenez (Jimenez) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) pursuant to FINRA Rule 9216 of FINRA’s Code of...
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Staff Attorney
- Oct 6, 2017
- 2 min
Former Edward Jones Broker Michael Mason Barred for Failing to Cooperate with Investigation involvin
Former Edward Jones broker, Michael Jean-Paul Mason (Mason), recently settled allegations with the Financial Industry Regulatory...
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Staff Attorney
- Sep 15, 2017
- 2 min
FINRA Suspends Former Stifel, Nicolaus Broker Harold Pomeranz for Unsuitable Short-Term UIT Investme
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint (Disc. Proceeding No. 2016049938201) against former...
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Staff Attorney
- Aug 3, 2017
- 2 min
Former First Allied Broker Larry Farmbry Suspended for Discretionary Trades in Customers’ Accounts
The Financial Industry Regulatory Authority (FINRA) recently announced Larry W. Farmbry (Farmbry) entered into a Letter of Acceptance,...
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Staff Attorney
- Jul 13, 2017
- 2 min
Former Voya Financial Broker Rodger Burskey Barred for Failing to Cooperate with Investigation invol
Former Voya Financial broker, Rodger James Burskey (Burskey), recently settled allegations with the Financial Industry Regulatory...
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