John Orlando (CRD #: 2002197), a broker registered with SW Financial, is currently involved in investor complaints over excessive trading, unsuitable investment recommendations, excessive concentration, and unsuitable use of margin, according to his BrokerCheck record accessed on August 17, 2020.  Do you have questions about John Orlando’s conduct as a broker?  Read on to learn more.
On June 8, 2020, a client alleged that John Orlando engaged in excessive trading, excessive concentration in particular securities, made unsuitable investment recommendations, and utilized unsuitable levels of margin. The client is seeking $1,000,000 in damages; the dispute is pending.
On March 19, 2020, a customer alleged that John Orlando made unsuitable investment recommendation and over-concentrated the client’s portfolio in speculative securities. The client seeks $30,400 in damages; the dispute is pending.
These are not the only disclosures on John Orlando’s BrokerCheck record.
On August 12, 2016, clients alleged that John Orlando over concentrated assets and made unsuitable recommendations. These clients sought $200,000 in damages; the dispute settled for $85,0001. In his Broker Comment in response to this complaint, John Orlando stated that “Each investment was in a large cap oil and gas company yielding the interest rate and credit quality so desired by client and that client was completely satisfied with investment until 2015 when the entire oil sector collapsed due to the decline in oil prices and all energy stocks, not just clients, fell and ceased paying dividends.”
John Orlando has passed the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the General Securities Representative Examination, and the General Securities Principal Examination. He is currently a registered broker in Alabama, Arizona, Arkansas, California, Colorado, Connecticut, D.C., Florida, Georgia, Idaho, Illinois, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Michigan, Minnesota, Mississippi, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, the Virgin Islands, Washington, and West Virginia.
John Orlando has worked in the securities industry for over two decades. During his 29-year career, he has worked at the following brokerage firms:

  • Joseph Gunnar & Co., LLC (CRD#: 24795)
  • Westpark Capital, Incorporated (CRD#: 39914)
  • Newport Coast Securities, Incorporated (CRD#: 16944)
  • Sterne Agee Financial Services, Incorporated (CRD#: 18456)
  • Emmett A Larkin Company, Incorporated (CRD#: 6625)
  • Salmon Grey Financial Corporation (CRD#: 43413)
  • Barron Chase Securities, Incorporated (CRD#: 18969)
  • Rockefeller, Rothschild & Steele (CRD#: 1904)
  • J. Whitman, L.P. (CRD#: 27870)
  • Daiwa Securities America Incorporated (CRD#: 1576)
  • NationsBanc-CRT Services, Incorporated (CRD#: 24962)
  • Thomas James Associates, Incorporated (CRD#: 15609)

If John Orlando was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email info@fkesq.com for your free case consultation with a securities attorney.

John Orlando (CRD #: 2002197), a broker registered with SW Financial, is currently involved in investor complaints over excessive trading, unsuitable investment recommendations, excessive concentration, and unsuitable use of margin, according to his BrokerCheck record accessed on August 17, 2020.  Do you have questions about John Orlando’s conduct as a broker?  Read on to learn more.
On June 8, 2020, a client alleged that John Orlando engaged in excessive trading, excessive concentration in particular securities, made unsuitable investment recommendations, and utilized unsuitable levels of margin. The client is seeking $1,000,000 in damages; the dispute is pending.
On March 19, 2020, a customer alleged that John Orlando made unsuitable investment recommendation and over-concentrated the client’s portfolio in speculative securities. The client seeks $30,400 in damages; the dispute is pending.
These are not the only disclosures on John Orlando’s BrokerCheck record.
On August 12, 2016, clients alleged that John Orlando over concentrated assets and made unsuitable recommendations. These clients sought $200,000 in damages; the dispute settled for $85,0001. In his Broker Comment in response to this complaint, John Orlando stated that “Each investment was in a large cap oil and gas company yielding the interest rate and credit quality so desired by client and that client was completely satisfied with investment until 2015 when the entire oil sector collapsed due to the decline in oil prices and all energy stocks, not just clients, fell and ceased paying dividends.”
John Orlando has passed the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the General Securities Representative Examination, and the General Securities Principal Examination. He is currently a registered broker in Alabama, Arizona, Arkansas, California, Colorado, Connecticut, D.C., Florida, Georgia, Idaho, Illinois, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Michigan, Minnesota, Mississippi, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, the Virgin Islands, Washington, and West Virginia.
John Orlando has worked in the securities industry for over two decades. During his 29-year career, he has worked at the following brokerage firms:

  • Joseph Gunnar & Co., LLC (CRD#: 24795)
  • Westpark Capital, Incorporated (CRD#: 39914)
  • Newport Coast Securities, Incorporated (CRD#: 16944)
  • Sterne Agee Financial Services, Incorporated (CRD#: 18456)
  • Emmett A Larkin Company, Incorporated (CRD#: 6625)
  • Salmon Grey Financial Corporation (CRD#: 43413)
  • Barron Chase Securities, Incorporated (CRD#: 18969)
  • Rockefeller, Rothschild & Steele (CRD#: 1904)
  • J. Whitman, L.P. (CRD#: 27870)
  • Daiwa Securities America Incorporated (CRD#: 1576)
  • NationsBanc-CRT Services, Incorporated (CRD#: 24962)
  • Thomas James Associates, Incorporated (CRD#: 15609)

If John Orlando was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email info@fkesq.com for your free case consultation with a securities attorney.