Articles Tagged with SW Financial

Reynold VaughanPublic records published by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that New York-based SW Financial broker Reynold Vaughan III has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Vaughan (CRD# 1025788).

Reynold Vaughan has spent 24 years in the securities industry and has been registered with SW Financial in Melville, New York since 2009. Previous registrations include Prestige Financial Center in Garden City, New York (2008-2009); Maximum Financial Investment Group in Hicksville, New York (2007-2008); Great Eastern Securities in Syosset, New York (2004-2007); Kirlin Securities in Syosset, New York (1996-2004); Fahnestock & Company in New York, New York (1994); Reich & Company (1991-1994); Dean Witter Reynolds in Purchase, New York (1990-1991); Shearson Lehman Hutton in New York, New York (1988-1990); and Merrill Lynch (1982-1988). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 16, 1988; Series 5 (Interest Rate Options Examination), which he obtained on January 26, 1982; and Series 7 (General Securities Representative Examination), which he obtained on December 19, 1981. He is a registered broker with eleven US states: Arizona, California, Indiana, Iowa, Montana, New Jersey, New York, Pennsylvania, South Carolina, Texas, and West Virginia.

According to his BrokerCheck report, he has received eight customer complaints, one pending customer complaint, and three regulatory sanctions.

Drew Wiener

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.

Christopher CacacePublicly 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.