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John Orlando Facing Investor Disputes for Over $2 Million

Dec 27, 2021 Unauthorized Trading

John Orlando (CRD #:2002197), a broker registered with SW Financial, is involved in three investor disputes, according to his BrokerCheck record, accessed on November 26, 2021.  

Investor Allegations 

On October 18, 2021, a dispute was filed against John Orlando alleging unauthorized trading, over-concentration, unsuitable investment recommendations, fraud & deceit, and breach of contract. The investor is seeking $1,200,000.  

John Orlando was involved in another dispute filed on July 28, 2020. According to the investor, he was negligent and breached his fiduciary duty after the client invested in Horizon Fund to access pre-IPO shares of Uber & Palintir in August 2016 & March 2017. The investor is seeking $$338,500; the dispute settled for $30,000. 

On June 8, 2020, an investor alleged that John Orlando allegedly recommended unsuitable investments, executed excessive trades, over-concentrated his accounts, and unsuitable use of margin. The investor is seeking $1,000,000; the dispute is pending.  

Settled Dispute 

On August 12, 2016, a dispute was filed against John Orlando alleging over concentration and making unsuitable recommendations between June 2012 and March 2015. The dispute settled for $85,001. 

Background Information 

John Orlando has passed the following exams: 

  • Series 63 – Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 – General Securities Representative Examination 
  • Series 24 – General Securities Principal Examination 

He is a registered broker in 40 states. 

Besides SW Financial, John Orlando has also worked with the following firms:  

  • Joseph Gunnar & Co (CRD#:24795) 
  • Westpark Capital (CRD#:39914 
  • Newport Coast Securities (CRD#:16944) 
  • Sterne Agee Financial Services (CRD#:18456) 
  • Emmett A Larkin Company (CRD#:6625) 
  • Salomon Grey Financial Corporation (CRD#:43413) 
  • Barron Chase Securities (CRD#:18969) 
  • Rockefeller, Rothschild, & Steele (CRD#:1904) 
  • M. J. Whitman, L.P. (CRD#:27870) 
  • Daiwa Securities America (CRD#:1576) 
  • Nationsbanc-Crt Services (CRD#:24962) 
  • Thomas James Associates (CRD#:15609) 

Kurta Law Can Help 

If you have worked with John Orlando and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.