Tag Archives: Michael Terry Swingle

JW Cole Broker Takes Money From Elderly for Gambling Habit

May 17, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Michael Terry Swingle of Clearwater Florida a stockbroker formerly registered with J.W. Cole Financial Inc. has been fined $5,000.00 and suspended for eighteen months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he engaged in unauthorized customer loan arrangements with the firm’s customers. Letter […]

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