Jason Edward Schwartz
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/27/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jason Edward Schwartz CRD No. 2798141, Respondent. Disciplinary Proceeding No. 2017056698601 Hearing Officer— RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 27, 2021 INTRODUCTION Disciplinary Proceeding No. 2017056698601 was filed on December 7, 2020, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Jason Edward Schwartz submitted an
12/07/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jason Edward Schwartz CRD No. 2798141, Respondent. Disciplinary Proceeding No. 2017056698601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From in or around December 2015 through May 2017 (the “relevant period”), while registered with FINRA through member firm AIG Capital Services, Inc. (AIG), Respondent Jason Edward Schwartz converted $32,400 from AIG by submitting falsified
Reference 2017056698601data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2798141 |
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