RedFlags, Allegations and Complaints against STEVEN DOUGLAS SWARTZ
Disclosure #1 for STEVEN SWARTZ
- eventDate: 11/21/2000
- Disclosure Type: Criminal
- Disclosure Resolution: Final Disposition
- Disclosure Detail :: criminalCharges :: Charges: BATTERY ON LAW ENFORCEMENT OFFICER – 3RD DEGREE FELONY -NOT GUILTY PLEA ENTERED TRESPASS IN OCCUPIED STRUCTURE OR CONVEYANCE – 1ST DEGREE MISDEMEANOR – NOT GUILTY PLEA ENTERED
- Charge Type: FELONY
- Disposition: THE TRESPASSING IN AN OCCUPIED STRUCTURE OR CONVEYANCE WAS DROPPED. THE BATTERY ON A LAW ENFORCEMENT OFFICER CHARGE WAS REDUCED TO RESISTING ARREST WITHOUT VIOLENCE, A MISDEMEANOR. ON MARCH 05, 2001, THE COURT ENTERED AN ORDER FOR 6 MONTHS’ PROBATION. THE ORDER INDICATED THAT THE MATTER WAS NOLLE PROSEQUI AND ADJUDICATION WITHHELD. ON MAY 25, 2001, THE COURT GRANTED MY MOTION TO TERMINATE PROBATION.
- Broker Comment: ON 11/05/2000 I ENTERED A HOTEL BAR/POOL AREA WITH A FRIEND WHO DID NOT HAVE IDENTIFICATION. WE WERE ASKED TO LEAVE. WE ENTERED THE AREA AFTERWARDS. AN OFFICER ON THE PREMISES WAS NOTIFIED AND HE ESCORTED US TOWARDS THE EXIT. WHEN I TURNED AROUND, HE ALLEGES THAT HE WAS STRUCK BY MY ELBOW. I DENY THIS ALLEGATION. THE TRESPASSING IN UNOCCUPIED CONVEYANCE OR STRUCTURE CHARGE WAS DROPPED. THE BATTERY CHARGE WAS REDUCED TO RESISTING ARREST WITHOUT VIOLENCE, A MISDEMEANOR. ON MARCH 05, 2001, I WAS PLACED ON 6 MONTHS’ PROBATION; THE MATTER WAS NOLLE PROSEQUI AND THE COURT WITHHELD ADJUDICATION. ON MAY 25, 2001, THE COURT GRANTED MY MOTION TO TERMINATE PROBATION.
Should I file a FINRA complaint against brokers like STEVEN DOUGLAS SWARTZ?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Update – 2022.11.15If you have suffered investment losses that may have been caused by STEVEN DOUGLAS SWARTZ’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
Frequently Asked Questions About STEVEN DOUGLAS SWARTZ
What is STEVEN SWARTZ’s Central Registration Depository (CRD) Number?
Which firm is STEVEN DOUGLAS SWARTZ associated with?
AMERIPRISE FINANCIAL SERVICES, LLC
Where is STEVEN SWARTZ located?
12800 University Dr, Fort Myers, FL, 33907
Where can I find more details about STEVEN SWARTZ’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/6363 to read a detailed report for AMERIPRISE FINANCIAL SERVICES, LLC
Are there any disclosures, allegations or complaints filed against STEVEN DOUGLAS SWARTZ?
Where can I download a detailed FINRA report for STEVEN SWARTZ?
Is it safe to do business with STEVEN DOUGLAS SWARTZ?
We’re not sure. Please research STEVEN SWARTZ’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:39 am
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