COLBY R SWARTZ

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/24/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. COLBY SWARTZ (CRD No. 5595698) Respondent. Disciplinary Proceeding No. 2008016187201 Hearing Officer: LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 24, 2011 INTRODUCTION Disciplinary Proceeding No. 2008016187201 was filed on August 9, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Colby Swartz (Swartz) submitted an Offer
Reference 2008016187201finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5595698

Other names1

Also known as1

COLBY SWARTZ

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