Investors have come forward with complaints about securities broker Emilio Guajardo Jr. (CRD:  4871764, The Woodlands, TX). Evidently, the securities broker, who worked for BBT Securities LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, BBT Securities LLC clients allege that Guajardo made misrepresentations. For more on these disclosures about Guajardo, see […]

Investors have come forward with complaints about securities broker James Tracy Stines [CRD#: 1175075, Richmond, Virginia]. Evidently, the securities broker, who worked for BBT Securities, discloses investor disputes on FINRA BrokerCheck. For more on these disclosures about Stines, see below. BBT Securities Client Accuses James Stines Of Failing To Follow Instructions Evidently, on March 11, […]

Securities Broker Christopher Swan Involved In Investor Disputes Financial industry Regulatory Authority (“FINRA”) reports that investors have filed disputes or lawsuits against securities broker Christopher Allan Swan (CRD#: 5810132, Irving, Texas). Notably, two investors brought disputes between 2019 and 2020 which are summarized below. BB&T Investments Client Indicates Christopher Swan Made Unauthorized Mutual Fund Transactions […]