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Biaggio Caroleo Of SW Financial And Formerly With Worden Capital Management LLC And Legend Securities, Inc. Has A Customer Complaint For Alleged Broker Misconduct

Who is Biaggio Caroleo of SW Financial?

Biaggio Caroleo (CRD #5256393) who is currently registered with SW Financial and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to SW Financial, Biaggio Caroleo was associated with Worden Capital Management LLC, Legend Securities, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Biaggio Caroleo Customer Complaint

Biaggio Caroleo has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were churning, unsuitable investment recommendations, breach of fiduciary duty, breach of contract, negligent misrepresentation and omissions involving common and preferred stock. The customer complaint filed against Biaggio Caroleo’s former employer Worden Capital Management LLC for investment losses caused by the alleged misconduct is pending as of the date of this report.

Biaggio Caroleo Red Flags & Your Rights As An Investor

Of course, Biaggio Caroleo 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 Biaggio Caroleo at SW Financial, Worden Capital Management LLC and Legend Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Biaggio Caroleo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SW Financial, Worden Capital Management LLC and Legend Securities, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At SW Financial Due To Biaggio Caroleo

If you have questions about SW Financial, Worden Capital Management LLC, Legend Securities, Inc. and/or Biaggio Caroleo 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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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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