DOUGLAS L. SWENSON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/08/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015496701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Douglas L. Swenson, Respondent General Securities Principal CRD No. 1196632 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition
Reference 2008015496701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1196632

Other names1

Also known as1

DOUGLAS LEON SWENSON

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