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Pratul Agnihotri, Broker with SW Financial, Suspended and Fined Over Alleged Outside Business Activities

Jeffrey Sonn
Oct 20, 2020
Posted in Broker / Advisor Investigations

Agnihotri is accused of improperly using customer funds that were provided for company-related business expenses. The Sonn Law Group is investigating allegations that Praturl Agnihotri[...]

John Orlando, Broker with SW Financial, Facing Pending Customer Disputes Over Unsuitable Investment Recommendations

Jeffrey Sonn
Sep 29, 2020
Posted in Broker / Advisor Investigations

Orlando faces three pending disputes seeking over $1M in damages. The Sonn Law Group is investigating allegations that John Orlando made unsuitable investment recommendations. If[...]

James Flower, Formerly of SW Financial, Facing Allegations of Churning and Excessive Trading

Jeffrey Sonn
Apr 14, 2020
Posted in Broker / Advisor Investigations

Flower was named in a FINRA complaint alleging unauthorized trades and causing inaccuracies in his firm’s books and records. The Sonn Law Group is investigating[...]