Tag Archives: Robert John Murray

FINRA Bars SW Financial Stockbroker In Boilerroom Investigation

April 08, 2020  |   Posted by :   |   Churning, Excessive Trading, Securities Arbitration Claims, Unsuitable Investment Recommendations   |   Comments Off on FINRA Bars SW Financial Stockbroker In Boilerroom Investigation

Robert John Murray (also known as Bob Murray) of Melville New York a stockbroker associated with SW Financial has been barred by Financial Industry Regulatory Authority (FINRA) from associating with any FINRA member in any capacity supported by allegations that the stockbroker neglected to respond to the regulator’s request for information. FINRA Case No. 2019061942401 […]

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Spartan Capital Sued For Breach Of Fiduciary Duty

Robert John Murray of New York New York a stockbroker formerly registered with Spartan Capital Securities LLC is referenced in a customer initiated investment related arbitration claim in which ten customers collectively requested $6,645,956.00 in damages based upon allegations that (1) fiduciary duties owed to customers had been violated (2) misrepresentations had been made concerning […]

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