Christopher Swan Settled Six-Figure Dispute
Christopher Swan (CRD #: 5810132), a former broker with BB&T Securities, recently settled a six-figure investor dispute, according to his BrokerCheck record, accessed on September 22, 2021. He is also a registered investment adviser with Swan Capital Financial Planning. Investors who have concerns about his conduct as a broker should keep reading.
On July 4, 2021, an investor alleged she was not aware that she was opening investment accounts in December 2019. The dispute settled for $210,000.
There is a similar dispute from 2019. On May 17, 2019, an investor alleged that Christopher Swan failed to follow instructions. FINRA requires that brokers always follow client instructions.
On December 14, 2018, Merrill Lynch, Pierce, Fenner & Smith fired Christopher Swan following allegations that he failed to meet firm standards related to receipt of client securities. Firms have supervisory systems in place designed to ensure that brokers do not mishandle client funds.
Christopher Swan Background Information
Christopher Swan has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
He has registered with the following firms:
- BB&T Securities (CRD #: 142785)
- Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691)
- Scottrade (CRD #: 8206)
- Charles Schwab & Co. (CRD #: 5393)
- Edward Jones (CRD #: 250)
Kurta Law Can Help
If you worked with Christopher Swan and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email firstname.lastname@example.org.