Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mitchell Swayze (Swayze), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Swayze recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on October 08, 2024.
Claimant alleges, inter alia, misrepresentation with respect to Liquidity Access Line – 2021 to 2023