Former SW Financial broker Vincenzo Trimaldi (CRD# 6547276) faces customer complaints related to unsuitable investment recommendations. He has been registered with Vienna Capital Partners LLC in New York, New York, since July 2023. Previously, he was registered with SW Financial in New York, New York, from 2019 to 2023, with Worden Capital Management LLC in New York, New York, from 2016 to 2019, and with Legend Securities, Inc. in New York, New York, from 2015 to 2016.
Vincenzo Trimaldi Customer Complaints
He has been the subject of three customer complaints between 2022 and 2023, according to his CRD report:
March 2023. “Unsuitability, excessive trading/commissions, unauthorized trading, negligence.” The customer is seeking $10,300,000 in damages, and the case is currently pending. The complaint took place while he was registered with SW Financial, and it was regarding equity OTC and common and preferred stocks.
December 2022. “Unsuitable investments, churning, failure to supervise, negligence.” The customer is seeking $510,152.82 in damages, and the case is currently pending. The complaint took place while he was registered with Worden Capital Management LLC, and it was regarding equity OTC and common and preferred stocks.
March 2022. “Churning, excessive commissions, unauthorized trading, unsuitability, negligence, breach of contract, fraud.” The customer is seeking $388,517 in damages, and the case is currently pending. The complaint took place while he was registered with SW Financial and Worden Capital Management LLC, and it was regarding equity OTC and common and preferred stocks.
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 and Worden Capital Management LLC may be liable for investment or other losses suffered by Vincenzo Trimaldi’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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