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FINRA Broker Allegations

Allegations against: Stephen Romney Swensen

Allegation type: Customer Dispute

Allegation status: Pending

The allegations read: Allegations against the firm by claimants for failing to detect an alleged fraud operated away from the firm, perpetrated by the former representative, who was affiliated with the firm for less than two months, outside the scope of his activities with the firm, regarding investments claimants made with the representative after he left the firm.

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