Nex Systems
Type not stated

GARY STEVEN SWIMAN

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/16/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. GARY STEVEN SWJMAN, CRD No. 2637243, Respondent. Disciplinary Proceeding No. 200S0120948 Hearing Officer: Sarah Nelson Bloom ORDER ACCEPTING OFFER OF SETTLEMENT Date: _____ INTRODUCTION Disciplinary Proceeding No. 20080120948 was filed on May 1, 2009, by the Department of Enforcement of the Financial Industry

    Reference 2008012094801data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.