John Swon – Financial Advisor/Broker John Swon Barred by FINRA | Goodman & Nekvasil, P.A. May Recover Investor Losses
John Swon a/k/a John Henry Swon was a previously licensed financial advisor with Royal Alliance Associates. According to John Swon’s BrokerCheck Report, John Swon was barred by FINRA in July 2021.
According to FINRA:
Swon consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA in connection with its investigation concerning allegations in a customer complaint that he misappropriated funds. The findings stated that this matter originated from a Uniform Termination Notice for Securities Industry Registration (Form U5) that Swon’s member firm filed noting that he violated its policies regarding disclosure and approval of outside business activities (OBAs).
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with John Swon and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning John Swon’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $200 million on behalf of victimized investors. If you lost money on investments with John Swon and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 7/9/2021 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.