Tag Archives: R.F. Lafferty Co. Inc.

RF Lafferty Stockbroker Sanctioned For Outside Business Activity

September 16, 2021  |   Posted by :   |   Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on RF Lafferty Stockbroker Sanctioned For Outside Business Activity

Athanasios Tomaras (also known as Thanasi Tomaras) of Oldsmar Florida a stockbroker currently registered with RF Lafferty Co. Inc. has been fined $5,000.00 and suspended for 45 days from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that Tomaras failed to identify outside business activities for RF Lafferty […]

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RF Lafferty Stockbroker Sanctioned For Unauthorized Trading

December 22, 2020  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   Comments Off on RF Lafferty Stockbroker Sanctioned For Unauthorized Trading

Jay Clint Tomlinson of New York New York a stockbroker currently registered with RF Lafferty Co. Inc. has been fined $7,500.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that he effected trades in customer accounts without authorization. Letter of Acceptance Waiver […]

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