DID JOHN ANTHONY ORLANDO CAUSE YOU INVESTMENT LOSSES?
John Orlando Formerly With SW Financial and Formerly With Joseph Gunnar & Co. LLC and Westpark Capital, Inc. Has 9 Customer Complaints For Alleged Broker Misconduct
Who is John Orlando formerly with SW Financial?
John Orlando (CRD #2002197) who was formerly registered with SW Financial and located in Melbourne beach, Florida, is a subject of one of our many securities industry sales practice abuse investigations. Prior to SW Financial, John Orlando was associated with Joseph Gunnar & Co. LLC, Westpark Capital, Inc and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
John Orlando Customer Complaints
In his career, John Orlando has been the subject of 9 customer complaints that we know about! One of John Orlando’s 9 customer complaints went through an arbitration hearing and an arbitration award was enteredin favor of investors. Three customer complaints were settled by WestPark Capital in favor of the investors and were John Orlando’s alleged misconduct. One complaint was denied by his former employer, and to date, no action has been taken. There are currently 4 pending customer complaints filed against John Orlando’s former employers, Westpark Capital, Inc. and Newport Coast Securities, Inc., for investment losses caused by his alleged misconduct.
Allegations Against John Orlando
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Claimants alleged that registered representative made unsuitable investment recommendations and over-concentrated their assets into one sector, oil, and gas, resulting in an $85,000 arbitration award in the investor’s favor.
- Client alleged breach of fiduciary duty and negligence relating to an investment in the Horizon Fund.
- Clients alleged that the registered representative churned their accounts and made unsuitable investment recommendations in common and preferred stock and private placement transactions.
- Client alleges excessive trading, unsuitable investments, excessive concentration, and unsuitable use of margin in his account.
- Unsuitability, excessive trading/commissions, unauthorized trading, and negligence.
- Misrepresentation, negligence, unsuitability, and breach of fiduciary duty related to private placement investments.
- Breach of fiduciary duty, negligence, and negligent misrepresentation related to private placement investments.
- Unsuitable recommendations regarding overconcentration of clients account and private placements.
John Orlando Red Flags & Your Rights As An Investor
Of course, John Orlando did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of John Orlando at SW Financial, Joseph Gunnar & Co. LLC and Westpark Capital, Inc. on alert to review carefully the activity and performance of their accounts and question whether John Orlando has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SW Financial, Joseph Gunnar & Co. LLC and Westpark Capital, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At SW Financial Due To John Orlando
If you have questions about SW Financial, Joseph Gunnar & Co. LLC, Westpark Capital, Inc and/or John Orlando and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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