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Drew Evan Wiener with SW Financial Has 2 Customer Complaints For Alleged Broker Misconduct In the Past Year

Who is Drew E. Wiener with SW Financial?

Drew Wiener (CRD #4917070) who is formerly registered with SW Financial and located in Melville, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to SW Financial, Drew Wiener was associated with Rockwell Global Capital LLC and two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

SW Financial & Rockwell Global Capital, LLC Broker Misconduct

In his career, Drew Wiener has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Three of Drew Wiener’s 4 customer complaints, were settled by his former employers SW Financial and others in favor of investors. There is currently 1 pending customer complaints filed against Drew Wiener’s former employer, Rockwell Global Capital, LLC for investment losses caused by his alleged misconduct.

Allegations Against Drew Wiener

A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:

  • Customer alleged, churning, unauthorized trading, misrepresentations in connection with common stock transactions.
  • Claimant alleged misrepresentation, churning, negligence, breach of fiduciary duty, and breach of contract connection with common and preferred stock transactions.
  • Customer alleged misuse of margin, unsuitable investment recommendations, over-concentration of investments, misrepresentation, breach of fiduciary duty, breach of contract, and negligence in connection with common stock and preferred stock transactions.

Drew Wiener Red Flags & Your Rights As An Investor

Of course, Drew Wiener 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 Drew Wiener at SW Financial and Rockwell Global Capital LLC on alert to review carefully the activity and performance of their accounts and question whether Drew Wiener has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SW Financial also raises questions about its 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 And Rockwell Global Capital, LLC

If you have questions about SW Financial, Rockwell Global Capital, LLC and/or Drew Wiener 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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