Yousuf Saljooki Investigation February 2022-Melville, NY The FINRA records of Yousuf Saljooki, a broker who formerly worked for SW Financial (Salomon Whitney Financial) and Worden Capital Management, disclose 7 final regulatory…
read moreJoseph A. Lianzo Investigation November 2021 – Melville, NY According to publicly attained records, Joseph Lianzo, a stockbroker who is not currently registered and who was last employed by SW Financial…
read moreJuly 2021 – Greenlawn, NY The FINRA records of Christopher Anthony Fernan , a currently unregistered stockbroker who was last employed by Salomon Whitney Financial , disclose 2 regulatory events, a criminal event, 1 pending customer…
read moreOctober 2019-Farmington, NY The FINRA records of Praxedes Russi , a financial advisor who currently works for Worden Capital Management and who previously was employed by Salomon Whitney Financial disclose 2…
read moreJune 2019 – Melville, NY According to publicly available records, Ahmad Wares, a financial advisor previously with Laidlaw & Company discloses 1 pending and 9 prior customer disputes, and a…
read moreAugust 2018-Melville, New York According to FINRA records, Stephen J. Sullivan, a stockbroker who currently works for SW Financial (formerly Salomon Whitney Financial) , discloses a prior regulatory event, a pending customer dispute, a…
read moreMarch 2019- Charlotte, N. Carolina According to FINRA records, Dennis Allen Hayes , a stock broker who is not currently registered and who formerly worked for Newbridge Securities Corp. , discloses a pending regulatory investigaton, 2…
read moreFebruary 2019- Garden City, NY According to publicly available records Jeffrey L. Offen , (CRD# 2893980) , a stockbroker who is not currently employed as a stockbroker and who was last employed by Craft Capital…
read moreOctober 2016-Farmingdale, NY The FINRA records of Thomas J. Tedeschi, a stockbroker who is currently employed by Salomon Whitney Financial disclose 5 prior customer disputes that are final and one recently resolved regulatory matter. The Financial Industry…
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