Gabriel Swan (CRD: 5821532) faces a pending customer claim that alleges $180,000 in damages, according to BrokerCheck. In it, the customer alleges Swan failed to stop him from withdrawing funds, and Swan denies any wrongdoing.
Investors potentially experienced sales practice violations because of securities broker Henrique Lucena [CRD: 5605196, Coral Gables, Florida], according to disclosures on FINRA BrokerCheck. Evidently, Lucena worked for UBS Financial Services Inc. from August 4, 2010 to March 21, 2017, and Morgan Stanley from March 10, 2017 to July 30, 2020. He joined Laidlaw Company (UK) Ltd. and Laidlaw Wealth Management LLC on July 29, 2020, and August 11, 2020, respectively. Below, you can learn more about Lucena’s investor disclosures.
Notably, on March 19, 2025, a Laidlaw Company (UK) Ltd. client filed FINRA Arbitration No. 25-00565 about Henrique Lucena. Particularly, the client alleged that Lucena made unsuitable recommendations, engaged in unauthorized trading, and was negligent. Because of this, the client allegedly experienced damages relating to over-the-counter equities, stocks, and options. So, the client requested $1,000,000.00 in compensation from Laidlaw or Lucena. Evidently, this arbitration is pending a resolution.
Also, a client of UBS Financial Services Inc. contested Henrique Lucena’s sales practices by filing FINRA Arbitration No. 20-03777. Allegedly, Lucena made misrepresentations and engaged in unauthorized trading. It appears that Lucena caused the client to sustain damages connected to equities. Thus, UBS Financial Services Inc. opted to settle the matter on November 4, 2021, by compensating the client in the amount of $350,000.00.
Do you have questions or concerns about investments you made through Henrique Lucena? You can touch base with Soreide Law Group online or at (888) 760-6552 and consult with a securities lawyer. Soreide Law Group has recouped losses for investors throughout the United States. Also, the firm works on a contingency fee arrangement and advances the costs. Lucena and brokerage firms Lucena worked for deny allegations of sales practice violations.
Gabriel Swan (CRD: 5821532) faces a pending customer claim that alleges $180,000 in damages, according to BrokerCheck. In it, the customer alleges Swan failed to stop him from withdrawing funds, and Swan denies any wrongdoing.
A pending customer claim on the BrokerCheck report of John Ravsten (CRD: 5634077) alleges $118,000 in damages. The claimant alleges misrepresentation and says the investment did not suit the claimant's situation.
A pending $2,500,000 customer claim over DST investments appears on the BrokerCheck report of Wendy Kretschmer (CRD: 3111589). The claimants allege that WestPark recommended the investments, and the claim remains open.
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