Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Henry Swan (Swan), currently associated with Equitable Advisors, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Swan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on January 28, 2025.
Claimant alleges RR Swan made misrepresentations and failed to disclose fees in connection with a deferred-compensation plan and variable life insurance policies.
