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SW Financial

John Orlando-Former SW Financial Broker- Customer Disputes Resolved for More Than $1.2M – Ft. Lauderdale, FL

John Orlando-Former SW Financial Broker- Customer Disputes Resolved for More Than $1.2M – Ft. Lauderdale, FL 150 150 ER

John A. Orlando Investigation June 2023 – Ft. Lauderdale, FL According to publicly available records  John Anthony Orlando ,  a  stockbroker previously employed by SW Financial,  discloses 2 regulatory events, 5 prior…

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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 150 150 ER

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…

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John Orlando- Former SW Financial Broker-Discloses Regulatory Events And $1.17M + in Customer Disputes- Ft. Lauderdale, FL

John Orlando- Former SW Financial Broker-Discloses Regulatory Events And $1.17M + in Customer Disputes- Ft. Lauderdale, FL 150 150 ER

John Orlando Investigation March 2023- Ft. Lauderdale, FL The FINRA records of  John Anthony Orlando , a currently unregistered broker who was last employed by SW Financial,  disclose 2  regulatory events,…

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Yousuf Saljooki-Former SW Financial Broker- Named In $750K Customer Complaint Alleging High Pressure Sales Techniques-Melville, NY

Yousuf Saljooki-Former SW Financial Broker- Named In $750K Customer Complaint Alleging High Pressure Sales Techniques-Melville, NY 150 150 Rex Securities Law

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…

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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 150 150 ER

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…

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Joey Gebron- SW Financial Broker- Discloses Settlement of Customer Disputes – New York, NY

Joey Gebron- SW Financial Broker- Discloses Settlement of Customer Disputes – New York, NY 150 150 Rex Securities Law

August 2021, New York, NY According to publicly available records Joseph Omar  “Joey”Gebron  (CRD#2764264) ,  a  stockbroker who is currently registered  with SW Financial  ,  discloses 7 prior customer disputes, one…

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Emil Botvinnik-Former SW Financial/ Worden Capital Broker-Accused of Churning by Regulator

Emil Botvinnik-Former SW Financial/ Worden Capital Broker-Accused of Churning by Regulator 150 150 Rex Securities Law

UPDATED January 2019-In 9/2018, the US Securities & Exchange Commission filed a civil suit alleging that Botvinnik engaged in fraud involving excessive commissions to enrich himself while his customers experienced…

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