Lufrano Law, LLC

Category: Content
Type: Blog Article

Generated 2 months ago

New blog articles detected

Lufrano Law, LLC

Category: Content
Type: Blog Article

Generated 2 months ago

New blog articles detected

  • Former First American Broker Thomas Brenner Disciplined for Private Placement Sales

    In August 2016, Thomas J. Brenner, Jr. (Brenner), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA), which alleged he engaged in manipulative behavior in the sale of private placements.  Specifically, FINRA alleged Brenner performed inadequate due diligence; failed to have a reasonable basis to recommend the private placements to customers; a...

  • Former LPL Broker Paul Liebezeit Disciplined for Selling Sway Hedge Fund Investment

    In August 2016, Paul George Liebezeit (Liebezeit), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA), which alleged he participated in a private securities transaction.  Specifically, FINRA alleged Liebezeit participated in a private securities transaction by recommending that potential investors, a married couple, invest in a fund of hedge f...

  • ProEquities Censured and Fined for Non-Traditional ETF Supervision

    The Financial Industry Regulatory Authority (FINRA) recently announced it censured and fined ProEquities, Inc. (“ProEquities”).  FINRA alleged ProEquities maintained inadequate supervisory systems and written supervisory procedures to monitor recommendations of complex products such as leveraged, inverse, or inverse-leveraged exchange traded funds (“'Non-Traditional ETFs”).  As a result, FINRA cen...

  • Former Citigroup Broker Hal Irving Marcus Suspended for Discretionary Trades in Customers’ Accounts

    The Financial Industry Regulatory Authority (FINRA) recently announced Hal Irving Marcus (Marcus) entered into a Letter of Acceptance, Waiver and Consent without admitting or denying the allegations.  The settlement concerns allegations Marcus effected 48 discretionary transactions without written authorization in the account of one of his customers.  As a result, Marcus was suspended from the fin...

  • Former LPL Broker Michael Barranco Disciplined for Outside Investment in TMG Senior Notes

    In August 2016, Michael J. Barranco (Barranco), a registered representative, settled a complaint with the Financial Industry Regulatory Authority (FINRA), which alleged he participated in private securities transactions.  Specifically, FINRA alleged Barranco participated in almost 40 private securities transactions with three different issuers without providing proper notice to his firm.  Based up...

Lufrano Law, LLC

Category: Content
Type: Blog Article

Generated 3 months ago

Lufrano Law, LLC

Category: Content
Type: Blog Article

Generated 3 months ago

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