John Orlando Embroiled in $2.2 Millions-Worth of Disputes
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.
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.
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.
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 email@example.com for a free consultation.
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