Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Swan (Swan), currently associated with Western International Securities, Inc., has at least 5 disclosable events. These events include 5 customer complaints, 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 with a damage request of $60,000.00 on October 28, 2024.
Customer alleges that an investment recommendation was unsuitable and misleading.
