James Robert Pecoraro of Melville, New York, a stockbroker formerly registered with SW Financial has been fined $10,000.00 and suspended for nine months from associating with any FINRA member in any capacity based upon allegations that Pecoraro engaged in quantitatively unsuitable excesive trading in customer accounts. Letter of Acceptance Waiver and Consent No. 2017056820701 (Aug….

John Anthony Orlando of Melbourne Beach, Florida, a stockbroker currently registered with SW Financial LLC, is the subject of a FINRA investigation where FINRA has recommended that Orlando face disciplinary action founded on accusations of his violation of federal securities laws and FINRA rules. FINRA Investigation No. 20190636333 (February 22, 2022). According to FINRA Public…

William Nicholas Athas, of Melville, New York, a stockbroker formerly registered with Worden Capital Management LLC, has been charged by Financial Industry Regulatory Authority (FINRA) with excessively trading and churning investor accounts when he was associated with Worden Capital Management. Department of Enforcement v. William Nicholas Athas, Disciplinary Action No. 2018057883102 (January 18, 2022). According…

Arthur Mel Coffey (also known as Mel Coffey) of Miller Place New York a stockbroker currently registered with SW Financial is referenced in a FINRA investigation which may lead to Department of Enforcement bringing a disciplinary action against him for possibly churning customer accounts and making unsuitable trades in violation of FINRA rules. FINRA Case…

Joseph Augustien Lianzo of Melville New York a stockbroker formerly registered with Laidlaw Company (UK) Ltd. has been suspended for eight months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Lianzo made excessive and unauthorized trades in customers’ accounts when he was associated with Laidlaw Company….

James William Flower (also known as Jim Flower) of Garden City New York a stockbroker formerly registered with SW Financial has been issued a Financial Industry Regulatory Authority (FINRA) Extended Hearing Panel Decision on May 27, 2021 in which he has been barred from associating with any FINRA member in any capacity based on findings…

Peter N. Girgis of New York New York a stockbroker currently registered with SW Financial is referenced in a Financial Industry Regulatory Authority (FINRA) investigation on September 15, 2020 where Girgis may face disciplinary action from FINRA Department of Enforcement based on accusations of unsuitability and excessive trading by the stockbroker. According to FINRA Public…

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…

James William Flower (also known as Jim Flower) of Melville New York a stockbroker formerly registered with SW Financial has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that the stockbroker excessively traded and churned the accounts of five SW Financial customers causing them grave losses at the same…

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….

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…

James Robert Pecoraro of Melville New York a stockbroker currently employed by SW Financial is referenced in a customer initiated investment related arbitration claim which was resolved for $36,000.00 in damages based upon allegations that Pecoraro (1) misrepresented information concerning the customer’s equity transactions (2) effected unauthorized trades (3) breached his fiduciary duty to the…

  Abdul Matin Rahmani of Mineola, New York, a stockbroker formerly registered with SW Financial, has been discharged by the firm on December 15, 2017 founded on allegations that he engaged in outside business activities in violation of both the firm’s policy and FINRA Rule 3270. SW Financial alleged that without the firm’s permission, Rahmani…