Articles Tagged with SW Financial

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Mcneil (Mcneil), previously associated with Sw Financial, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Mcneil recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on August 25, 2022.

Respondent McNeil failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

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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

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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 complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on July 11, 2022.

Unsuitable transactions, overconcentration, breach of contract, misrepresentation

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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 complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $185,000.00 on September 06, 2022.

Allege RR misrepresented investments and purchased speculative investments that were not suitable

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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 complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $10,900,000.00 on October 10, 2022.

Thomas Sullivan was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unsuitability, breach of fiduciary duty, breach of contract, negligence, unjust enrichment, strict liability, and failure to supervise.

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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 complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $10,900,000.00 on October 10, 2022.

Nick Abramovich was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unsuitability, breach of fiduciary duty, breach of contract, negligence, unjust enrichment, strict liability, and failure to supervise.

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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 complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $10,900,000.00 on October 10, 2022.

Biaggio Caroleo was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unsuitability, breach of fiduciary duty, breach of contract, negligence, unjust enrichment, strict liability, and failure to supervise.

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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 other allegations and complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $10,900,000.00 on October 10, 2022.

Joseph Lianzo was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unsuitability, breach of fiduciary duty, breach of contract, negligence, unjust enrichment, strict liability, and failure to supervise.

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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 complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $10,900,000.00 on October 10, 2022.

Mickey Mclellan was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unsuitability, breach of fiduciary duty, breach of contract, negligence, unjust enrichment, strict liability, and failure to supervise.

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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 complaints.

FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $10,900,000.00 on October 10, 2022.

Sherman Felix was a subject of the customer’s complaint against his member firm that asserted the following causes of action: unsuitability, breach of fiduciary duty, breach of contract, negligence, unjust enrichment, strict liability, and failure to supervise.

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