James Robert Pecoraro of Melville, New York, a stockbroker formerly registered with SW Financial has been fined $10,000.00 and suspended for nine months from associating with any FINRA member in any capacity based upon allegations that Pecoraro engaged in quantitatively unsuitable excesive trading in customer accounts. Letter of Acceptance Waiver and Consent No. 2017056820701 (Aug….
James Robert Pecoraro of Melville New York a stockbroker currently employed by SW Financial is referenced in a customer initiated investment related arbitration claim which was resolved for $36,000.00 in damages based upon allegations that Pecoraro (1) misrepresented information concerning the customer’s equity transactions (2) effected unauthorized trades (3) breached his fiduciary duty to the…
James Robert Pecoraro, of Melville, New York, a stockbroker formerly registered with Rockwell Global Capital LLC, is the subject of a customer initiated investment related arbitration claim, which settled on July 10, 2017, for $13,500.00 in damages based upon allegations that Pecoraro breached his contractual and fiduciary obligations to the customer, and negligently traded the…