Securities Lawyers Blog
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Pratul Agnihotri (Agnihotri), previously associated with Sw Financial, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Agnihotri concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $83,086.81 on December 10, 2021.
Time Frame: February 2013 through to Present. Alleged Allegations: Churning, Unsuitability, Breach of Fiduciary Contract, Misrepresentation, Unauthorized Trading, Failure to Supervise