Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 8, 2018 indicate that New York-based SW Financial broker/adviser Drew Wiener has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wiener (CRD# 4917070).
Drew Wiener has spent 12 years in the securities industry and has been registered with SW Financial in Melville, New York since 2015. Previous registrations include Rockwell Global Capital in Syosset, New York (2010-2015); JHS Capital Advisors in Bethpage, New York (2005-2010); and Gunnallen Financial in New York, New York (2005). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 6, 2005, and Series 7 (General Securities Representative Examination), which he obtained on April 21, 2005. He is a registered broker and investment adviser with 26 US states and territories.
According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.
In July 2017 a customer alleged Drew Wiener, while employed at Rockwell Global Capital, churned investments, misused margin, made unsuitable investment recommendations, over-concentrated investments, misrepresented and omitted material facts, breached his fiduciary duty, breached contract, acted negligently, and committed fraud. The customer is seeking $115,000 in damages in the pending complaint.
In 2009 a customer alleged Drew Wiener, while employed at Pointe Capital, misrepresented material facts, committed fraud, churned investments, acted negligently, breached his fiduciary duty, and breached contract. The complaint settled for $75,000.
If you have complaints regarding Drew Wiener, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.