Tag Archives: Pratol Victor Agnihotri

FINRA Investigates SW Financial Stockbroker For Theft

April 08, 2020  |   Posted by :   |   Failure To Supervise, Misappropriation of Funds, Stockbroker Theft   |   Comments Off on FINRA Investigates SW Financial Stockbroker For Theft

Pratol Victor Agnihotri of Melville New York a stockbroker associated with SW Financial has been referenced in an investigation initiated by Financial Industry Regulatory Authority (FINRA) on October 18, 2019 in which he may face disciplinary action for possibly converting funds belonging to investors and for engaging in undisclosed outside business activities. FINRA Investigation No. […]

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