Christopher Allan Swan of Marble Falls Texas a stockbroker formerly registered with Merrill Lynch Pierce Fenner Smith Incorporated is the subject of a customer initiated investment related complaint on July 30, 2019 where the customer requested $16,571.62 in damages founded on allegations that the customer’s investment instructions failed to be followed as it pertained to stock trades between October of 2018 and May of 2019.
FINRA Public Disclosure additionally reveals that on December 14, 2018, Swan was discharged by Merrill Lynch based upon accusations that he violated the securities broker dealer’s policies or standards as it pertained to the handling of customers’ investments. Since April 8, 2019, Swan has been registered with BBT Securities LLC.
