SW Financial problem Archives - Rex Securities Law-BLOG

ER
March 28, 2023
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Christopher Blumer- Former SW. Financial Broker-Discloses Award and Pending Customer Dispute-New York, NY

Christopher Blumer- Former SW. Financial Broker-Discloses Award and Pending Customer Dispute-New York, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g March 28, 2023 March 28, 2023

Christopher Blumer Investigation March 2023- New York, NY The FINRA records of Michael Christopher Blumer, a former SW Financial broker who currently works for Spartan Capital Securities, disclose two pending and two prior…

ER
November 9, 2021
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Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY

Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER http://0.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g November 9, 2021 November 9, 2021

Joseph 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…

Rex Securities Law
August 18, 2018
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Stephen Sullivan-Former Newbridge Securities Broker-Subject of $500K Customer Suit-Melville, NY

Stephen Sullivan-Former Newbridge Securities Broker-Subject of $500K Customer Suit-Melville, NY http://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law http://0.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 18, 2018 August 18, 2018

August 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…