Nex Systems
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BARRY ERNEST SWANSON

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/05/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. SAF200700767 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA)" RE: Integrated Financial Planning Services, Inc., Respondent Member Firm BD No. 17935 Barry Ernest Swanson., Respondent CRD No. 706508 Pursuant to Rule 9216 of FINRA's Code of Procedure, Integrated Financial Planning Services, Inc. and Barry Ernest Swanson ("Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC")

    Reference SAF200700767data-portal.finra.orgfinra.org

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