Nex Systems
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FRED R. SCHWARTZ

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

    10/24/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Fred R. Schwartz (CRD No. 1405861), Respondent. DISCIPLINARY PROCEEDING No. 2006004795101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From in or about June 2004 to in or about August 2005, Fred R. Schwartz engaged in excessive, unsuitable trading in the accounts of three customers. Schwartz controlled the trading in the customers' accounts and recommended and executed purchases

    10/18/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Fred R. Schwartz, CRD No. 1405861, Respondent. Disciplinary Proceeding No. 2006004795101 Hearing Officer - Andrew H. Perkins ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 18, 2011 INTRODUCTION Disciplinary Proceeding No. 2006004795101 was filed on October 24, 2008, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Fred R. Schwartz

    Reference 2006004795101data-portal.finra.orgfinra.orgdata-portal.finra.org

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