Swan Shen; Capital Financial Services; Burlington, Massachusetts

Stoltmann Law Offices is interested in speaking to those investors who may have invested money with Swan Shen, a broker with Capital Financial Services in Burlington, Masschusetts. Shen allegedly copied and pasted client signatures, altered forms and created consolidated customer statements which were then provided to certain customers without pre-approval from CUNA Brokerage Services, her member firm at the time. She was placed on heightened supervision. She also allegedly copied and pasted to place non-genuine signatures of four separate customers on two mutual fund order forms and one account application, on a separate occurrence. These are against securities rules and regulations. Shen was registered with Mony Securities, Metropolitan Life Insurance Company, MetLife Securities, CUNA Brokerage Services in Waltham, Massachusetts from April 2001 until September 2013, Capital Finance Services and Cantella & Co. She is currently registered with Capital Financial Services in Burlington, Massachusetts and has been since October 2014. She has two customer disputes against her.

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