A National Securities Arbitration & Investment Fraud Law Firm

Articles Tagged with SW Financial

Published on:

Silver Law Group is investigating Melville, New York-based SW Financial (CRD# 145012) broker James W. Flower (CRD# 2817701) after FINRA suspended him.

FINRA Suspends Flower

According to Flower’s FINRA BrokerCheck report, FINRA barred Flower after the regulatory organization found that Flower unsuitably recommended an exchange-traded note (“ETN”).

Badges
Contact Us
Free Consultation (800) 975-4345
Contact Information