Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Coleman (Coleman), previously associated with Sw Financial, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Coleman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $90,724.99 on July 21, 2021.
Excessive Trading, Suitability, Overconcentration