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Christopher Allan Swan formerly with BB&T Securities, LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years

Who is Christopher A. Swan formerly with BB&T Securities, LLC?

Christopher Swan (CRD #5810132) who was formerly registered with BB&T Securities, LLC and located in Irving, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to BB&T Securities, LLC, Christopher Swan was associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Scottrade, Inc. and 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

BB&T Securities, LLC Broker Misconduct

In his career, Christopher Swan has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. One of Christopher Swan’s customer complaints was settled in favor of investors. There is one pending customer complaint filed against Christopher Swan’s former employer BB&T Securities, LLC for investment losses caused by his alleged misconduct.

Allegations Against Christopher Swan  

A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:

  • Customer alleges failure to follow instructions relating to investments in common and preferred stocks.
  • Client alleges that she was not aware she was opening investment accounts.

Christopher Swan Red Flags & Your Rights As An Investor

Of course, Christopher Swan did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Christopher Swan at BB&T Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Scottrade, Inc. on alert to review carefully the activity and performance of their accounts and question whether Christopher Swan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at BB&T Securities, LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated about Christopher Swan also raises questions about their supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At BB&T Securities, LLC And Merrill Lynch, Pierce, Fenner and Smith Incorporated

If you have questions about BB&T Securities, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Scottrade, Inc. and/or Christopher Swan and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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