What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: October 18, 2016

According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Eric Swenson was accused of participating in outside business activities that he did not disclose to his firm, Scottrade. This is against securities rules and regulations. For this, he was fined $10,000 and suspended for nine months. Please call us today if you feel like you may be able to bring a claim against Scottrade for not properly supervising him. We take cases on a contingency fee basis. The call to us is free with no obligation. 312-332-4200. According Swenson’s online BrokerCheck report, Eric Swenson was registered with Scottrade in Stuart, Florida from October 2003 until January 2014 and PNC Investments in Fort Pierce, Florida from November 2014 until October 2016. He is not licensed within the industry.

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