Stephen Swarbrick Has Received a Pending Customer Complaint

Stephen SwarbrickPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 27, 2017 indicate that California-based Questar Capital broker/adviser Stephen Swarbrick has been named in a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Swarbrick (CRD# 2444058).

Stephen Swarbrick has spent 22 years in the securities industry and has been registered with Questar Capital in Roseville, California since 2012. Previous registrations include Woodbury Financial Services in Roseville, California; WM Financial Services in Irvine, California; and Great Western Financial Services in Northridge, California. He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is a registered broker and investment adviser with eight US states and territories: Arizona, California, Florida, Minnesota, Nevada, Oregon, Pennsylvania, Utah and Virginia.

According to his BrokerCheck report, he has received one pending customer complaint.

In January 2017 a customer alleged Stephen Swarbrick, while employed at Woodbury Financial and Questar Capital Corporation, recommended unsuitable investments in equipment leasing and oil and gas partnerships. The customer is seeking $400,000 in damages in the pending complaint.

In 2016 a customer alleged Stephen Swarbrick, while employed at Woodbury Financial Services, made unsuitable investment recommendations. The customer sought $25,000 in damages in the complaint, which was withdrawn.

In 2015 a customer alleged Stephen Swarbrick, while employed at Woodbury Financial Services, misrepresented material facts related to a variable annuity investment. The customer sought unspecified damages in the complaint, which was denied.

If you or someone you know has lost money investing with Stephen Swarbrick, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.