Tag Archives: Arthur Mel Coffey

FINRA Investigates SW Financial Stockbroker For Churning

October 08, 2021  |   Posted by :   |   Boilerroom Sales, Breach of Fiduciary Duty, Churning, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on FINRA Investigates SW Financial Stockbroker For Churning

Arthur Mel Coffey (also known as Mel Coffey) of Miller Place New York a stockbroker currently registered with SW Financial is referenced in a FINRA investigation which may lead to Department of Enforcement bringing a disciplinary action against him for possibly churning customer accounts and making unsuitable trades in violation of FINRA rules. FINRA Case […]

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