Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Swinchock (Swinchock), currently associated with LPL Financial LLC, has at least one disclosable event. These events include one customer complaint, alleging that Swinchock recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on January 02, 2026.
Customers allege misrepresentations and failure to exercise reasonable care regarding indexed universal life insurance policy in late 2020 or early 2021.