FINRA: Complaint Involving Thomas Swan Settles for $110,000


Thomas Swan (CRD #: 1698430), a California broker registered with Western International Securities, was recently involved in a $110,000 settlement according to his BrokerCheck record, accessed on November 2, 2021. This is Mr. Swan’s third BrokerCheck disclosure. On August 31, 2020, a client alleged that Thomas Swan was negligent and misrepresented certain securities. The client […]