Anthony Kevin Swart (also known as Tony Swart) of Longboat Key Florida a stockbroker formerly employed by SunTrust Investment Services Inc. is the subject of an Order issued by The State of Michigan Department of Licensing and Regulatory Affairs which directed Swart to withdrawal his securities agent registration in the State of Michigan based upon accusations that Swart engaged in disingenuous activities in the securities industry. Case No. 33658 (Sept. 25, 2018).
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that on March 13, 2018, Swart was discharged by SunTrust Investment Services Inc. supported by allegations that Swart forged customers’ signatures on documentation to effect investment transactions.
Swart has also been identified in two customer initiated investment related disputes pertaining to accusations of his violative conduct during the time that he was associated with SunTrust Investment Services and UBS Financial Services Inc. Particularly, a customer filed an investment related complaint concerning Swart’s activities in which the customer requested $31,000.00 in damages founded on allegations that while Swart was associated with UBS Financial Services, unsuitable over-the-counter equities trades were placed in the customer’s investment account.
Thereafter, a customer filed an investment related complaint regarding Swart’s conduct where the customer sought $17,000.00 in damages based upon accusations that Swart made misrepresentations to the customer concerning the customer’s ability to liquidate two Hartford Classic Leaders Outlook Variable Annuities which the customer purchased through Swart.
Since May 3, 2018, Swart has been registered with Benjamin F. Edwards Company Inc.
