Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Swank (Swank), currently associated with Edward Jones, has at least one disclosable event. These events include one customer complaint, alleging that Swank recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 07, 2022.
Client alleges FA failed to follow instructions to liquidate his accounts which resulted in market loss to the client.