JOHN HENRY SWON, IV

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/06/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071153001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Swon IV (Respondent) Former General Securities Representative CRD No. 5591686 Pursuant to FINRA Rule 9216, Respondent John Swon IV submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2021071153001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5591686

Other names1

Also known as1

John Swon IV

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