Michael Richard Rosalia, a former broker from Sayville, New York, previously associated with Worden Capital Management LLC in Garden City, has been barred by Financial Industry Regulatory Authority (FINRA) for failing to cooperate with its investigation. FINRA’s action alleged that Rosalia engaged in excessive trading and made unsuitable investment recommendations to his customers. Financial Industry…
Michael Richard Rosalia, of Melville, New York, a stockbroker registered with SW Financial, is the subject of an enforcement action initiated by Financial Industry Regulatory Authority (FINRA) in which the regulator is seeking sanctions against Rosalia for allegedly failing to comply with FINRA in connection with its investigation into Rosalia’s potential unsuitable and excessive trading…