Nex Systems
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ERIC LEEPER SWENSON

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

    10/14/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039902901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Eric Leeper Swenson, Respondent Registered Representative CRD No. 3263767 Pursuant to FINRA Rule 9216 ofFINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged Rule violations described below. This AWC is submitted on the

    Reference 2014039902901data-portal.finra.orgfinra.org

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