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…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Cangialosi (Cangialosi), previously associated with Sw Financial, has at least one disclosable event. These events include one regulatory event, alleging that Cangialosi 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 Michael Rosalia (Rosalia), previously associated with Sw Financial, has at least one disclosable event. These events include one regulatory event, alleging that Rosalia 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 Peter Girgis (Girgis), previously associated with Sw Financial, has at least one disclosable event. These events include one regulatory event, alleging that Girgis 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 John Orlando (Orlando), previously associated with Sw Financial, has at least one disclosable event. These events include one customer complaint, alleging that Orlando 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 Richard Reynolds (Reynolds), previously associated with Sw Financial, has at least one disclosable event. These events include one regulatory event, alleging that Reynolds recommended unsuitable investments in different investment products including debt securities among other allegations and…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Richard Foerster Reynolds (Reynolds), currently employed by SW Financial has been subject to at least 13 customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), Reynolds’ customer…