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COMPLAINTS Against FELIPE ARRIETA of SW Financial
Felipe Arrieta, Formerly with SW Financial, Subject of Customer Complaint
MIAMI, FLORIDA Are you a former client of financial advisor Felipe Arrieta, who previously worked with SW Financial in Miami, Florida? The securities and investment fraud law firm of Israels & Neuman is looking into allegations made against Felipe Arrieta during his affiliation with SW Financial.
FINRA’s BrokerCheck discloses that Arrieta has been the subject of a customer complaint that was filed in November 2022. According to BrokerCheck, the customer alleged investments of $747,000 were made in private placements while Arrieta was licensed with SW Financial, and that there were undetermined losses associated with those private placements.
From July 2018 to October 2022, Felipe N. Arrieta was licensed with SW Financial and worked in Miami, Florida. Arrieta is now with Moloney Securities, and he has been affiliated with 14 different firms since he started in the securities industry in 2000. Arrieta has been the subject of four customer complaints prior to the one made in November 2022.
Arrieta and SW Financial are obligated to follow FINRA Rules, such as FINRA Rule 2111. This rule mandates that stockbrokers have to make suitable investment recommendations. If an investment recommendation is unsuitable, the firm and/or broker may be liable for investor losses stemming from that recommendation.
Israels & Neuman represent investors in FINRA arbitration proceedings all over the country. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
View Arrieta, f BrokerCheck 2.17.23