Thomas Swan Has Multiple Investor Complaints – Goodman & Nekvasil, P.A., May Recover Investor Losses
Western International Securities Broker, Thomas Swan has multiple investor complaints.
Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.
Thomas Brian Swan (CRD#: 1698430), a registered broker for Western International Securities, in Westlake Village, CA, has multiple investor complaints. According to Swan’s FINRA BrokerCheck report, the customers allege negligence, negligent misrepresentation and unsuitability. Thomas Swann is also named in an SEC complaint in connection with his recommendations to retail customers to purchase an unrated debt security offered by GWG Holdings, Inc.

Thomas Swan Sold GWG L Bonds – Goodman & Nekvasil, P.A.
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to its clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 1/9/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.