Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on December 12, 2016 indicate that former Florida-based JW Cole Financial broker Michael Swingle is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Swingle (CRD# 723350).
Michael Swingle has spent 27 years in the securities industry and was most recently registered with JW Cole Financial in Clearwater, Florida (2008-2016). Previous registrations include New England Securities in Tampa, Florida; Princor Financial Services in Tampa, Florida; Waddell & Reed in Overland Park, Kansas; Mony Securities in New York, New York; Ameritas Investment Corporation in Lincoln, Nebraska; FFP Securities in Chesterfield, Missouri; and Investment Resources Securities in Columbus, Ohio. He is currently not registered with any state or firm. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), Series 6 (Investment Company Products/Variable Contracts Representative Examination), and Series 22 (Direct Participation Programs Representative Examination).
According to his BrokerCheck report, Michael Swingle was terminated his former employer, JW Cole Financial Services.
In October 2016 Michael Swingle was terminated from his position at JW Cole Financial “due to his failure to disclose his entering into loan arrangements with clients.” FINRA Rule 3240 stipulates that “No person associated with a member in any registered capacity may borrow money from or lend money to any customer of such person” without properly notifying the member firm prior to such arrangements and receiving pre-approval in writing.
If you have complaints regarding Michael Swingle, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.