Joseph Augustien Lianzo, Broker with SW Financial, Suspended by FINRA Following Allegations of Failure to Supervise

INVESTORS: FINRA suspended SW Financial broker Joseph Augustine Lianzo for making unauthorized trades in customers’ accounts.

joseph-augustien-lianzo-failure-to-superviseJoseph Agustien Lianzo (CRD: 4516842) is registered as a broker with SW Financial, where he has been employed since 2017. Previously, Lianzo was registered as a broker with Arive Capital Markets in 2017.

Lianzo has seven disclosures on his BrokerCheck report. Three disclosures relate to Lianzo’s personal finances.

November 2021 Regulatory Judgment

August 2021 Regulatory Judgment

April 2018 Customer Dispute

April 2018 Customer Dispute

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The Sonn Law Group is currently investigating allegations surrounding Joseph Augustien Lianzo. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.