Tag Archives: James William Flower

SW Stockbroker Barred By FINRA For Churning

June 12, 2021  |   Posted by :   |   Boilerroom Sales, Excessive Trading, Investment and Regulatory News   |   Comments Off on SW Stockbroker Barred By FINRA For Churning

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 […]

Read More »

FINRA Charges SW Financial Stockbroker With Churning

April 23, 2020  |   Posted by :   |   Boilerroom Sales, Excessive Trading   |   Comments Off on FINRA Charges SW Financial Stockbroker With Churning

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 […]

Read More »

Spartan Capital Stockbroker Investigated For Unauthorized Trading

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. […]

Read More »

Laidlaw & Company Named In Securities Fraud Arbitration

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 […]

Read More »