Were you the victim of former SW Financial broker Aramis Guerin (CRD# 6868992)? He has been registered with PHX Financial, Inc. in New York, New York, since 2022. Previously, he was registered with SW Financial in New York, New York, from 2019 to 2022.
Aramis Guerin Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
March 2023. “Unsuitability, excessive trading/commissions, unauthorized trading, negligence.” The customer is seeking $115,011 in damages, and the case is currently pending. THe complaint was regarding equity OTC and common and preferred stocks, and it took place while he was registered with SW Financial.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, SW Financial may be liable for investment or other losses suffered by Aramis Guerin’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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