Floyd Swilley was a broker with MERRILL LYNCH, PIERCE, FENNER & SMITH, INC from 12/1981 – 08/1984. But, his unethical conduct destroyed his career. The American Stock Exchange started an investigation against Floyd Swilley on March 14, 1990. The case number 89-D-12 ALLEGE TRANSACTIONS IN CUSTOMERS ACCOUNTS WITHOUT PRIOR WRITTEN AUTHORIZATION, UNSUITABILITY, CHURNING, DELIBERATELY MISSTATED INFORMATION ON…
ON AUGUST 7, 1997, THE COMMISSION RECEIVED A COMPLAINT FROM AN ALABAMA RESIDENT THAT, IN MAY AND AUGUST 1996, RANDOLPH SOLD HIM STOCK IN EXCEL COMMUNICATIONS, COCA COLA AND INTERESTS IN A SOUTH CAROLINA LLC NAMED AMERICAN ALARM ASSOCIATES II, LLC, MANAGED BY A SOUTH CAROLINA CORPORATION NAMED AMERICAN ALARM ASSOCIATES, INC., AND RANDOLPH HAD…
South Carolina Securities Section commenced a regulatory action against Floyd Swilley on September 17, 1997. Case No. 97048 (involving Floyd Swilley’s enterprise Captrust Securities Corporation) Allegations: Sale of unregistered securities, material, misstatement in connection with the offer or sale of securities. MADE A MATERIAL MISSTATEMENT RELATIVE TO THE SALES OF SECURITIES PRIOR TO FILING FOR…
Case initiated by Alabama regulators on September 15, 1997. CD-97-0050: AMERICAN ALARM ASSOCIATES, INC.; AMERICAN ALARM ASSOCIATES II, LLC ON AUGUST 22, 1996, AN APPLICATION FOR LIMITED OFFERING EXEMPTION WAS RECEIVED ON BEHALF OF AMERICAN ALARM ASSOCIATES II, LLC, MANAGED BY AMERICAN ALARM ASSOCIATES, INC., WHOSE OFFICERS WERE WILLIAM EDWARD GAUSE, JOHN FLOYD SWILLEY AND…
John Floyd Swilley’s CRD #1022778. According to the SEC, John Floyd Swilley is not a licensed broker. SEC Investment Adviser Public Disclosure: SEC disclosure on John Floyd Swilley The SEC describes the multiple “disclosure events” related to Floyd Swilley. Disclosure events include criminal charged and convictions, formal investigations and disciplinary actions initiated by regulators, customer…
Floyd Swilley was doing business as “Sage Financial” when my mom hired Floyd and his wife Laurel in 2011. In fact, Sage Financial remained a storefront business until late 2013 when Floyd started selling securities and stealing big time money. Now Sage Financial is more a backroom enterprise located in Swilley Disability Advocates (Principal Office,…
John Floyd Swilley (aka J Floyd Swilley, aka Floyd Swilley, aka John Swilley) has been deceiving, lying to and defrauding naive people out of their money for many years. My mom, Carol Fackler Handy, hired J Floyd Swilley in Fall 2011 after Wachovia Financial Advisers (now Wells Fargo Financial Advisers) “forgot” to send the IRS…
Has John Floyd Swilley Stolen Money From You? 