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Michael Blumer, John Kuprianchik, David Page, Steven Thompson, and Joseph Todaro

Date:

October 19, 2023

Type of alert:

Excessive Trading  

The SEC filed charges against Michael Blumer, John Kuprianchik, David Page, Steven Thompson, and Joseph Todaro (registered representatives of Salomon Whitney LLC or SW Financial) for recommending short-term, high-volume investment strategies without a reasonable basis. This resulted in over 2000 trades and over $660,000 in commissions and fees due to excessive trading.

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