Kevin Richard Wilson, Formerly of SW Financial, Facing Multiple Customer Disputes Alleging Misrepresentations and Other Misconduct

INVESTORS: Former SW Financial broker Kevin Richard Wilson is facing multiple pending customer disputes alleging misrepresentation of private placements, among other forms of misconduct.

Kevin Richard Wilson (CRD#: 3262701) was registered as a broker with SW Financial from 2021 until 2022. Previously, Moy was registered as a broker with Worden Capital Management from 2019 until 2021.

Wilson has nine disclosures on his BrokerCheck report. One customer dispute filed against Wilson was withdrawn and one was closed with no action taken. 

May 2022 Customer Dispute

Status: Pending

Allegations: Attorney for Claimant alleges RR misrepresented private placements and excessive trading/commissions.

Damage Amount Requested: $900,000.00


May 2022 Customer Dispute

Status: Pending

Allegations: Attorney for Claimant alleges RR misrepresented private placements and failed to disclose commissions.

Damage Amount Requested: $1,500,000.00


February 2021 Customer Dispute

Status: Pending

Allegations: Clients alleged unsuitability

Damage Amount Requested: $100,000.00


May 2019 Customer Dispute

Status: Award / Judgment

Allegations: Client alleges unauthorized trading in 2014.

Damage Amount Requested: $90,405.00

Damages Granted: $60,205.06


May 2019 Customer Dispute

Status: Settled

Allegations: Client alleges unsuitability and over-concentration from 2010 to 2017

Damage Amount Requested: $300,000.00

Settlement Amount: $70,000.00


April 2019 Customer Dispute

Status: Settled

Allegations: Client alleges unsuitability and over-concentration from 2012 to 2017

Damage Amount Requested: $44,000.00

Settlement Amount: $225,000.00

Broker Comment: This is a baseless claim which the RR intends to vigorously defend.


October 2018 Customer Dispute

Status: Pending

Allegations: Client alleges unsuitability from 2010 to 2017

Damage Amount Requested: $2,000,000.00

Broker Comment: This is a baseless claim which the RR intends to vigorously defend.


If you have any information about Kevin Richard Wilson that you would like to share or discuss, please call our firm for a confidential consultation. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.