Archive

Tag Archives: Richard James Coleman

FINRA Bars SW Financial Stockbroker For Failure To Pay Arbitration Award

June 22, 2020 | Posted by : Guiliano Law Group | Boilerroom Sales, Securities Arbitration Claims | Comments Off

Richard James Coleman (also known as Rich Coleman and as Rick Coleman) of Melville New York a stockbroker formerly registered with SW Financial and Legend Securities has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity on June 2, 2020 based upon allegations that he did not report to […]

Disclaimer

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer. Questions or comments regarding the source or accuracy of information, including any subsequent developments, should be directed to: [email protected].

Archive

FINRA Bars SW Financial Stockbroker For Failure To Pay Arbitration Award

For a Free Evaluation of Your Claim

Call Us Toll Free At:

(877) SEC-ATTY

All Inquires Are Confidential.

See Important Disclaimer

Categories