Tag Archives: Andrew Spaventa

SW Stockbroker Sanctioned By FINRA For Failure To Comply

Andrew Caputo Spaventa of Melville New York a stockbroker formerly registered with Salomon Whitney Financial has been suspended on September 6, 2019 from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations of Spaventa’s failure to comply with a customer initiated investment related settlement agreement. FINRA Public Disclosure confirms […]

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