James William Flower (also known as Jim Flower) of Garden City New York a stockbroker formerly registered with SW Financial has been issued a Financial Industry Regulatory Authority (FINRA) Extended Hearing Panel Decision on May 27, 2021 in which he has been barred from associating with any FINRA member in any capacity based on findings…
James William Flower (also known as Jim Flower) of Melville New York a stockbroker formerly registered with SW Financial has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that the stockbroker excessively traded and churned the accounts of five SW Financial customers causing them grave losses at the same…
James William Flower (also known as Jim Flower) of Garden City New York a stockbroker currently registered with Spartan Capital Securities is the subject of an investigation initiated by Financial Industry Regulatory Authority (FINRA) on October 15, 2019. According to Public Disclosure, the investigation concerns allegations that the stockbroker recommended excessive trades to a customer….
James William Flower, of Melville, New York, a stockbroker formerly registered with Laidlaw & Company (UK) Ltd., has been named in a customer initiated investment related written complaint, which settled on November 12, 2015 for $45,000.00 in damages based upon allegations that Flower effected unsuitable equity transactions and churned the customer’s investment account. Financial Industry…