Category: SW Financial

Pierre Hilario Barred by FINRA: Private Placement Investigation

Pierre Hilario (CRD# 4386481), formerly a broker registered with NI Advisors and SW Financial, allegedly failed to cooperate with an investigation into his private placement sales, according to an October 7, 2023 review of his Financial Industry Regulatory Authority (FINRA) BrokerCheck profile. MDF Law is investigating the former Milpitas, California representative for allegations of similar […]

Joseph Lianzo Suspended by FINRA Over Excessive Fees

Joseph Lianzo (CRD 4516842) has been suspended by FINRA. The suspension was announced in August 2021. Here are the important details: Fast Facts About Joseph Lianzo’s Suspension The suspension started on September 20, 2021 and will end on May 19, 2022. The suspension involved excessive trading in customer accounts. Specifically, FINRA cited one customer who […]