It’s critical for everyone to know as much as possible about the people we trust with our money. There are several sources where you can obtain information regarding a person’s background, including prior employment history, regulatory disciplinary actions, and consumer complaints.
This information could lead to concerns about Christopher Swatta and investment losses you may have incurred. We’ll do our best to answer any questions you might have.
DID CHRISTOPHER FRANK SWATTA CAUSE YOU INVESTMENT LOSSES?
Christopher Swatta Of RBC Capital Markets, LLC Has A Customer Complaint For Alleged Broker Misconduct
Who is Christopher Swatta of RBC Capital Markets, LLC?
Christopher Swatta (CRD #1087775) who is currently registered with RBC Capital Markets, LLC and located in Annapolis, Maryland is a subject of one of our many securities industry sales practice abuse investigations.
Christopher Swatta Customer Complaint
Christopher Swatta has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unsuitable investment recommendations related to equities purchased in client’s account. Christopher Swatta’s customer complaint was denied and, to date, the customer has not taken any further action.
Christopher Swatta Red Flags & Your Rights As An Investor
Of course, Christopher Swatta 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 Swatta at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Christopher Swatta has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC also raises questions about the brokerage firm’s 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 RBC Capital Markets, LLC Due To Christopher Swatta
If you have questions about RBC Capital Markets, LLC and/or Christopher Swatta 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.