James Bradley Schwartz
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/26/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James Bradley Schwartz (CRD NO. 3043085), Respondent. DISCIPLINARY PROCEEDING No. 2016051704302 COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. Respondent James Bradley Schwartz ("Schwartz"), while associated with Aegis Capital Corp. ("Aegis" or the "Firm"), a FINRA-regulated broker-dealer, churned and excessively traded
04/16/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James Bradley Schwartz, (CRD NO. 3043085) Respondent. DISCIPLINARY PROCEEDING NO. 2016051704302 Hearing Officer: JLC ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 16, 2019 INTRODUCTION Disciplinary Proceeding No. 2016051704302 was filed on February 26, 2019 by the Department of Enforcement of the Financial Industry Regulatory Authority (“FINRA”) (“Complainant”).
Reference 2016051704302data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3043085 |
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