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Articles Tagged with SW Financial

Pratul Agnihotri (CRD#: 4031797), a registered representative with SW Financial in Melville, New York, is currently under investigation by FINRA, the Financial Industry Regulatory Authority, according to his BrokerCheck record accessed on December 19, 2019. What’s going on? On October 18, 2019, FINRA “made a preliminary determination to recommend that disciplinary action be brought against” […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that New York-based SW Financial broker Stephen Sullivan is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sullivan (CRD# 3123249). Stephen Sullivan has spent 19 years […]

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on July 6, 2017 indicate that New York-based SW Financial broker James Flower has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Flower (CRD# 2817701). James Flower has […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 15, 2017 indicate that New York-based SW Financial Yousuf Saljooki, also known as Joe Saljooki, has received pending or resolved customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Saljooki (CRD# 5045123). Joe Saljooki has spent […]

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