Were you the victim of Western International Securities, Inc. broker Thomas Swan (CRD# 1698430)? Swan has been registered with Western International Securities, Inc. in Ventura, California since 2008.
Swan has been the subject of two customer complaints between 2002 and 2020, one of which was denied, according to his CRD report:
August 2020. “Negligent Misrepresentation.” The customer is seeking $350,000 in damages and the case is currently pending. The complaint was regarding variable annuities.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Western International Securities, Inc. may be liable for investment or other losses suffered by Swan’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.