Potomac Analytics' Logo

FINRA Broker Allegations

Allegations against: William Madison Swayne

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Client alleges material misrepresentations and omissions; violations of the securities act of 1933, the securities exchange act of 1934, and the washington state securities act (rcw 21.20.430) in connection with two tic purchases in october 2007 and march 2008.

Back