SW Financial Archives

ER
June 27, 2023

John Orlando-Former SW Financial Broker- Customer Disputes Resolved for More Than $1.2M – Ft. Lauderdale, FL

John Orlando-Former SW Financial Broker- Customer Disputes Resolved for More Than $1.2M – Ft. Lauderdale, FL https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 27, 2023 October 5, 2023

John A. Orlando Investigation June 2023 – Ft. Lauderdale, FL According to publicly available records John Anthony Orlando , a stockbroker previously employed by SW Financial, discloses 2 regulatory events, 5 prior…

ER
March 28, 2023

Christopher Blumer- Former SW. Financial Broker-Discloses Award and Pending Customer Dispute-New York, NY

Christopher Blumer- Former SW. Financial Broker-Discloses Award and Pending Customer Dispute-New York, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 28, 2023 October 4, 2023

Christopher Blumer Investigation March 2023- New York, NY The FINRA records of Michael Christopher Blumer, a former SW Financial broker who currently works for Spartan Capital Securities, disclose two pending and two prior…

Robert Rex, Esq.
February 14, 2022

Yousuf Saljooki-Former SW Financial Broker- Named In $750K Customer Complaint Alleging High Pressure Sales Techniques-Melville, NY

Yousuf Saljooki-Former SW Financial Broker- Named In $750K Customer Complaint Alleging High Pressure Sales Techniques-Melville, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 14, 2022 October 4, 2023

Yousuf Saljooki Investigation February 2022-Melville, NY The FINRA records of Yousuf Saljooki, a broker who formerly worked for SW Financial (Salomon Whitney Financial) and Worden Capital Management, disclose 7 final regulatory…

ER
November 9, 2021

Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY

Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g November 9, 2021 October 3, 2023

Joseph A. Lianzo Investigation November 2021 – Melville, NY According to publicly attained records, Joseph Lianzo, a stockbroker who is not currently registered and who was last employed by SW Financial…

Robert Rex, Esq.
August 12, 2021

Joey Gebron- SW Financial Broker- Discloses Settlement of Customer Disputes – New York, NY

Joey Gebron- SW Financial Broker- Discloses Settlement of Customer Disputes – New York, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 12, 2021 August 12, 2021

August 2021, New York, NY According to publicly available records Joseph Omar “Joey”Gebron (CRD#2764264) , a stockbroker who is currently registered with SW Financial , discloses 7 prior customer disputes, one…

Robert Rex, Esq.
July 18, 2016

Emil Botvinnik-Former SW Financial/ Worden Capital Broker-Accused of Churning by Regulator

Emil Botvinnik-Former SW Financial/ Worden Capital Broker-Accused of Churning by Regulator https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 18, 2016 July 18, 2016

UPDATED January 2019-In 9/2018, the US Securities & Exchange Commission filed a civil suit alleging that Botvinnik engaged in fraud involving excessive commissions to enrich himself while his customers experienced…