Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 26, 2017 indicate that New York-based SW Financial broker Christopher Cacace has been sanctioned by FINRA. Fitapelli Kurta is interested in spekaing to investors who have complaints regarding Mr. Cacace (CRD# 4308782).
Christopher Cacace has spent sixteen years in the securities industry and has been registered with SW Financial in Melville, New York since May 2017. Previous registrations include Roosevelt & Cross in New York, New York; Rothschild Lieberman in New York, New York; Legend Securities in New York, New York; Cohen Capital Group in New York, New York; Labranche & Company in New York, New York; and Bocklet & Company in New York, New York. He has passed seven securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); Series 21 (NYSE Front Line Specialist Clerk); Series 25 (NYSE Trading Assistant Examination); Series 4 (Registered Options Principal Examination); Series 24 (General Securities Principal Examination); and Series 14A (Compliance Official Specialist Exam). He is currently not registered with any US state.
According to his BrokerCheck report, Christopher Cacace has been sanctioned by FINRA.
In January 2017 FINRA sanctioned him following allegations he “failed to ensure that his member firm reported, or timely reported, statistical and summary information regarding written customer complaints sent to the firm.” FINRA’s findings stated further: “Cacace was responsible for ensuring that the firm timely reported to FINRA statistical and summary information regarding written customer complaints and timely filed amendments for the firm’s associated persons in their respective Forms U4 and U5. The findings also stated that Cacace failed to ensure that the firm timely filed Form U4 or U5 amendments for registered representatives with respect to three customer complaints and a customer arbitration.” He was issued a fine of $5,000 and a 20-day suspension from acting in all principal capacities.
If you or someone you know has complaints regarding investments made with Christopher Cacace, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.