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SW Financial Stockbroker Sanctioned For Excessive Trading

August 16, 2019 | Posted by : Guiliano Law Group | Boilerroom Sales, Churning, Excessive Trading, Investment and Regulatory News | Comments Off

Richard James Coleman (also known as Rich Coleman and as Rick Coleman) a stockbroker registered with SW Financial has been fined $15,000.00 and suspended for two years from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that (1) Coleman traded in customer accounts in excessive amounts and (2) […]

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SW Financial Stockbroker Sanctioned For Excessive Trading

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