According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Lefkowitz (Lefkowitz), previously associated with Sw Financial, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lefkowitz recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Wilson (Wilson), previously associated with Sw Financial, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Wilson recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Sullivan (Sullivan), previously associated with Sw Financial, has at least one disclosable event. These events include one customer complaint, alleging that Sullivan recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nick Abramovich (Abramovich), previously associated with Sw Financial, has at least one disclosable event. These events include one customer complaint, alleging that Abramovich recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Biaggio Caroleo (Caroleo), previously associated with Sw Financial, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Caroleo recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Lianzo (Lianzo), previously associated with Sw Financial, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Lianzo recommended unsuitable investments in different investment products including debt securities among…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mickey Mclellan (Mclellan), previously associated with Sw Financial, has at least one disclosable event. These events include one customer complaint, alleging that Mclellan recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sherman Felix (Felix), previously associated with Sw Financial, has at least one disclosable event. These events include one customer complaint, alleging that Felix recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stanley Kaplan (Kaplan), previously associated with Sw Financial, has at least one disclosable event. These events include one customer complaint, alleging that Kaplan recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Diamante (Diamante), previously associated with Sw Financial, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Diamante recommended unsuitable investments in different investment products including debt securities among…