Tag Archives: Douglas Anthony Leone

SW Financial Sued By Investors For Churning

Douglas Anthony Leone of Melville New York a stockbroker associated with SW Financial has been referenced in a customer initiated investment related arbitration claim in which the customer requested $250,000.00 in damages supported by allegations that (1) transactions effected in the customer’s account were not suitable (2) contractual and fiduciary obligations were violated (3) misleading […]

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Salomon Whitney Broker Barred In Investigation

May 01, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Douglas Anthony Leone of Melville New York a stockbroker formerly registered with Salomon Whitney Financial has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Office of Hearing Officers Default Decision containing findings that Leone failed to cooperate in a FINRA investigation regarding his unsuitable investment […]

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Salomon Whitney Broker Charged With Obstruction

Douglas Anthony Leone, of Melville, New York, a stockbroker formerly registered with Salomon Whitney Financial, has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that he failed to provide testimony in a FINRA investigation into his potentially unsuitable investment recommendations. Department of Enforcement v. Douglas Anthony Leone, No. 2016052560002 (Jan. 9, […]

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