KENT D. SWEAT

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/25/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. INTERMOUNTAIN FINANCIAL SERVICES, INC. CRD No. 15386, and KENT D. SWEAT CRD No. 1157627, Respondents. Disciplinary Proceeding No. 2008011579401 Hearing Officer: AHP ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 25, 2010 INTRODUCTION Disciplinary Proceeding No. 2008011579401 was filed on September 23, 2009, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)
Reference 2008011579401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1157627

Other names1

Also known as1

KENT DUANE SWEAT

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