Our Staff has compiled our research into a database of FINRA Broker Disclosures for SW Financial. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Vincenzo Enrico Trimaldi | 6547276 | 2 | 12/05/2022 | Customer Dispute | Pending | $510,153.00 | $0.00 | See FINRA Report |
| John Anthony Orlando | 2002197 | 8 | 08/11/2022 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Robert Brian Lefkowitz | 1574656 | 5 | 07/11/2022 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Robert Brian Lefkowitz | 1574656 | 5 | 07/11/2022 | Customer Dispute | Pending | $5,000.00 | $0.00 | See FINRA Report |
| Arthur Mel Coffey | 2553466 | 20 | 06/06/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Christopher Blumer | 4861312 | 4 | 04/18/2022 | Customer Dispute | Pending | $45,405.00 | $0.00 | See FINRA Report |
| John Anthony Orlando | 2002197 | 8 | 03/31/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter James Malone | 4412447 | 1 | 03/21/2022 | Customer Dispute | Pending | $1,303,700.00 | $0.00 | See FINRA Report |
| John N Girgis | 5021526 | 4 | 03/21/2022 | Customer Dispute | Pending | $210,181.00 | $0.00 | See FINRA Report |
| Scott Jason Hechler | 5277526 | 2 | 03/21/2022 | Customer Dispute | Pending | $42,360.00 | $0.00 | See FINRA Report |