FINRA Suspends New York-Based Financial Advisor for Nine Months John Sebastion Cangialosi, currently an SW Financial broker, was suspended by the Financial Industry Regulatory Authority (FINRA) in September 2021 for nine months. The broker was ordered to pay $271,622 in restitution for allegedly engaging in unsuitable trading in three customer…
Ex-New York Financial Advisor Has 15 Customer Disputes on BrokerCheck If you suffered investment losses while working with ex-Worden Capital Management stockbroker Allan Perry Montalbano, contact our New York financial advisor misconduct attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com). Montalbano, who is no longer a…
FINRA Barred New York Financial Advisor Following Unsuitability & Churning Allegations If you have suffered investment losses while working with ex-Worden Capital Management broker Christ Elias Baltas, you may be able to pursue damages by filing a Financial Industry Regulatory Authority (FINRA) arbitration claim. Baltas, who was based out of…
Ex-Worden Capital Management Broker’s Customer is Seeking Over $200K in Damages Joseph Paul Todaro, currently an SW Financial registered representative, is named in a customer dispute in which the claimant is reporting investment losses from excessive trading, failure to follow instructions, and poor services. The investor is seeking over $200K. …
SRO Was Investigating Trading Activity in Customers’ Accounts The Financial Industry Regulatory Authority (FINRA) has barred Salvatore Pizzimenti from the industry. The ex-Worden Capital Management broker was under investigation for trades made in customers’ accounts. The industry bar came after Pizzimenti refused to give testimony in the self-regulatory organization’s (SRO’s)…
Worden Capital Management’s Settlement Includes $1.2M in Customer Restitution In December 2020, Worden Capital Management, a New York-based broker-dealer, arrived at an over $1.5M settlement with the Financial Industry Regulatory Authority (FINRA) over excessive trades made by the firm’s registered representatives. The self-regulatory organization (SRO) contends that from January 2015…