SW Financial

There are Recent Customer Complaints with Broker Mickey Mclellan in Firm Sw Financial

November 4, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Sherman Felix in Firm Sw Financial

November 4, 2025 | by Staff Attorney

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.

There are Recent Customer Complaints with Broker Stanley Kaplan in Firm Sw Financial

October 19, 2025 | by Staff Attorney

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 complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $225,000.00 on January 23, 2023.

Unsuitability, excessive commissions, negligence, breach of fiduciary duty

There are Recent Customer Complaints with Broker Thomas Diamante in Firm Sw Financial

August 29, 2025 | by Staff Attorney

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 other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on June 22, 2023.

Diamante was named in a customer complaint that asserted the following causes of action: negligence, unsuitability, fraudulent misrepresentations and omissions, securities fraud, common law fraud, breach of fiduciary duty, and breach of contract.

Broker John Cangialosi in Sw Financial Firm Has Customer Complaint

August 9, 2025 | by Staff Attorney

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 complaints.

FINRA BrokerCheck shows a final customer complaint on March 06, 2024.

Without admitting or denying the findings, Cangialosi consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its examination of Cangialosi’s outside business activities.

There are Recent Customer Complaints with Broker Michael Rosalia in Firm Sw Financial

August 9, 2025 | by Staff Attorney

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 complaints.

FINRA BrokerCheck shows a final customer complaint on June 20, 2024.

Rosalia was named a respondent in a FINRA complaint alleging that he failed to appear and provide on-the-record testimony requested by FINRA in connection with its investigation into whether he engaged in excessive and unsuitable trading in his customers’ accounts.

There are Recent Customer Complaints with Broker Peter Girgis in Firm Sw Financial

August 8, 2025 | by Staff Attorney

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 complaints.

FINRA BrokerCheck shows a final customer complaint on July 02, 2024.

Respondent Girgis failed to respond to FINRA requests for information.

Broker John Orlando in Sw Financial Firm Has Customer Complaint

June 23, 2025 | by Staff Attorney

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 complaints.

FINRA BrokerCheck shows a pending customer complaint on December 07, 2023.

John Anthony Orlando was named in a customer complaint that asserted the following causes of action: Conversion and Unjust Enrichment, Breach of Fiduciary Duty, and Fraud.

Broker Richard Reynolds in Sw Financial Firm Has Customer Complaint

April 4, 2025 | by Staff Attorney

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 complaints.

FINRA BrokerCheck shows a final customer complaint on August 22, 2024.

. Without admitting or denying the findings, Reynolds consented to the sanctions and to the entry of findings that he excessively and unsuitably traded the account of a senior customer with a medium risk tolerance. The findings stated that Reynolds recommended high frequency in-and-out trading to the customer, even when the price of his recommended securities did not materially change. The customer relied on Reynolds’ advice and routinely followed his recommendations. Reynolds recommended transactions in the customer’s account that generated total trading costs of $39,436, including $35,950 in commissions.

Advisor Richard Reynolds Has Numerous Trading Complaints

September 16, 2022 | by Staff Attorney

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 complaints alleges that Reynolds recommended unsuitable investments in various investments, among other allegations of misconduct relating to the handling of their accounts, including unauthorized trading.

In April 2019, a customer complained that Reynolds violated the securities laws by alleging that Reynolds charged unauthorized commissions. The damage amount requested was $8,000. The claim settled in the amount of $4,000.

In December 2018, a customer complained that Reynolds violated the securities laws by alleging that Reynolds engaged in negligence and negligent supervision. The damage amount requested was $65,000. The claim settled in the amount of $14,500.

In November 2018, a customer complained that Reynolds violated the securities laws by alleging that Reynolds engaged in statutory and common law fraud, misrepresentation, negligence, breach of contract, and breach of fiduciary duty. The damage amount requested was $56,000. The claim settled in the amount of $14,999.99.

In May 2018, a customer complained that Reynolds violated the securities laws by alleging that Reynolds engaged in churning, improper use of margin, unsuitability, and charged high commissions.. The damage amount requested was $503,828.39. The claim settled in the amount of $150,000.