DID THOMAS BRIAN SWAN CAUSE YOU INVESTMENT LOSSES?

Thomas Swan Of Western International Securities, Inc. Has 5 Customer Complaints For Alleged Broker Misconduct

Thomas Swan Customer Complaints

Thomas Swan has been the subject of 5 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by Western International Securities in favor of the investors. One customer complaint was denied and the investor took no further action. Recently, investors filed 2 separate FINRA arbitration proceedings against Western International Securities for Thomas Swan’s alleged misconduct.

Allegations Against Thomas Swan

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses follows:

• Negligence and negligent misrepresentation.
• Violation of California Insurance Code.
• Unsuitable investment recommendations.

Thomas Swan Red Flags & Your Rights As An Investor

Of course, Thomas Swan did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Thomas Swan at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Thomas Swan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, Inc. also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

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