Close

Articles Posted in Laidlaw & Company

Updated:

New York-based SW Financial Broker James W. Flower Under Investigation After FINRA Suspension

Silver Law Group is investigating Melville, New York-based SW Financial (CRD# 145012) broker James W. Flower (CRD# 2817701) after FINRA suspended him. FINRA Suspends Flower According to Flower’s FINRA BrokerCheck report, FINRA barred Flower after the regulatory organization found that Flower unsuitably recommended an exchange-traded note (“ETN”). According to the…

Contact Us