Have You Lost Money With STEVEN THOMPSON of SW Financial?

MELVILLE, NY

Have you lost money with financial advisor Steven Thompson, formerly with SW Financial? Steven William Thompson of Melville, New York was terminated from SW Financial in December 2021 regarding allegations that he received a loan from a client and also used non-approved methods of communication.

Steven Thompson was with SW Financial (formerly Salomon Whitney) from August 2020 to December 2021. He has worked at branch offices in Melville, New York.

Brokerage firms like SW Financial have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past.

Click to view: Thompson, Steven BrokerCheck 1.4.22

If you lost money with Steven Thompson or SW Financial, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.