Jonathan Scot Zwickel
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/23/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065586401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jonathan Scot Zwickel, Respondent General Securities Representative and General Securities Principal CRD No. 1724322 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent, Jonathan Scot Zwickel, submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020065586401finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1724322 |
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