LPL Financial LLC broker Gabriel Swan (CRD# 5821532) is accused of investment losses. He has been registered with LPL Financial LLC in Ventura, California, since 2024. He was registered with Western International Securities in Ventura, California, from 2017 to 2024, and Ameritas Investment Corp. in Ventura, California, from 2012 to 2017.
Gabriel Swan Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
February 2026. “Customer alleges the representative failed to stop the Customer from withdrawing funds from his own accounts that the Customer then invested in an allegedly fraudulent scheme.” The customer is seeking $180,000 in damages, and the case is currently pending. The complaint was regarding managed and wrap accounts, and the complaint took place while he was registered with LPL Financial LLC.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, LPL Financial LLC may be liable for investment or other losses suffered by Gabriel Swan’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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