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Elizabeth Swan Faces Pending Criminal Charge

Elizabeth Swan (CRD #: 5877152), a broker registered with Charles Schwab & Company, has a pending criminal charge, according to her BrokerCheck record, accessed on March 13, 2023. Investors may have also engaged her services through TD Ameritrade Clearing. Read on if you have questions about her alleged conduct as a broker.

Investor Dispute

On January 6, 2023, a criminal charge was entered against Elizabeth Swan. This charge is currently pending.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Elizabeth Swan has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 34 – Retail Off-Exchange FOREX Examination
  • Series 3 – National Commodity Futures Examination
  • Series 7 – General Securities Representative Examination
  • Series 24 – General Securities Principal Examination

Elizabeth Swan is a registered broker in Nebraska.

She has also worked for TD Ameritrade (CRD#:7870).

Kurta Law Can Help

If you worked with Elizabeth Swan and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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