Public 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.