Investors potentially incurred losses because of securities broker Vincenzo Enrico Trimaldi [CRD: 6547276, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Trimaldi worked for SW Financial from December 10, 2019, to March 21, 2023, and has been registered with Vienna Capital Partners LLC since July 5, 2023. Investors are encouraged to continue reviewing the information below to discover more about disclosures involving Trimaldi’s sales practices.
Evidently, a client of SW Financial disputed Trimaldi’s sales practices by filing FINRA Arbitration No. 22-02457. Allegedly, Trimaldi was negligent, engaged in churning, and recommended unsuitable investments. It appears that Trimaldi caused the client to experience damages involving stocks and over-the-counter equities. Therefore, the matter was settled on September 13, 2023, by compensating the client in the amount of $10,000.
Notably, a SW Financial client filed FINRA Arbitration No. 22-02586 concerning Vincenzo Trimaldi. Mainly, the client alleged that Trimaldi engaged in unauthorized trading, excessive trading, and negligence, including making unsuitable recommendations. For this reason, the client allegedly experienced damages related to over-the-counter equities and stocks. The arbitration was filed on November 10, 2022, remains pending, and the client has alleged damages of approximately $1,347,083.
Did you experience losses because of Vincenzo Trimaldi? If so, reach out to Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney regarding a potential recovery of your investment losses. Soreide Law Group has recovered losses for clients located throughout the country. Also, the firm represents investors on a contingency fee basis and advances all costs. Trimaldi and brokerage firms Trimaldi worked for deny allegations of sales practice violations.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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