According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Michael Swingle violated securities laws and internal firm rules. Allegedly, Michael Swingle borrowed a total of $118,500 from five firm customers, from August 2014 until October 2016. For this misconduct, he was suspended from the industry for 18 months and fined $5,000. Michael Swingle was previously registered with Waddell & Reed, Investment Resources Securities, FFP Securities, Ameritas Investment Corp, Mony Securities Corp, Princor Financial Services, New England Securities, and J.W. Cole Financial in Clearwater, Florida from August 2007 until November 2016. He is not currently registered as a broker, according to his online, FINRA BrokerCheck report. If you or someone you know lost money with Michael Swingle, and would like to speak to an attorney for free about how to sue J.W. Cole for your losses, please call 312-332-4200 today. Attorneys are standing by and the call is free.
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