FINRA Rule 4511 | Lufrano Law, LLC

Lufrano Law, LLC

Staff Attorney

Oct 11, 20182 min read

Financial Advisor Ethan De Naray Suspended for Discretionary Trades in Customer’s Account

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

Staff Attorney

Oct 1, 20182 min read

Former FSC Securities Financial Broker Daniel Irving Suspended for Mismarking Solicited Trades in Cu

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