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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 […]

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FINRA Bars SW Financial Stockbroker For Failure To Pay Arbitration Award

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