CHRISTOPHER A. SWEENEY

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/22/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E072003004201 TO: NASD Department of Enforcement RE: Cardinal Capital Management, Inc. CRD No. 24605 Hershel F. Smith, Jr., Registered Principal CRD No. 427817 Christopher A. Sweeney. Registered Principal CRD No. 823375 Pursuant to Rule 9216 of the NASD Code of Procedure, Cardinal Capital Management, Inc. ("CCM"), Hershel f. Smith, Jr., and Christopher A. Sweeney (collectively, "Respondents") submit this Letter of Acceptance, Waiver and Consent
Reference E072003004201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/03/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Cardinal Capital Management, Inc., CRD No. 24605, and Christopher Sweeney, CRD No. 823375, Respondents. Disciplinary Proceeding No. C07040090 Hearing Officer -SW ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 3,2005. INTRODUCTION Disciplinary Proceeding No. C07040090 was filed on November 4, 2004, by the Department of Enforcement of NASD
Reference C07040090data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	823375

Other names2

Also known as2

CHRISTOPHER SWEENEYCHRISTOPHER ALAN SWEENEY

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.