JAMES A. SWANKE

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/20/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James A. Swanke CRD No. 2228901 Colin P. Collea CRD No. 1519299 Respondents. Disciplinary Proceeding No. C05050026 Hearing Officer: COMPLAINT Upon information and belief, Complainant alleges as follows: JURISDICTION 1. Respondent James A. Swanke ("Swanke") entered the securities industry in March 1992, when he associated with an NASD member firm. He
Reference C05050026data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/22/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James A. Swanke CRD No. 2228901 Colin P. Collea CRD No. 1519299 Disciplinary Proceeding No. E052000056306 (Formerly C05050026) Hearing Officer: RSH AMENDMENT TO ORDER ACCEPTING OFFER OF SETTLEMENT DATED OCTOBER 7, 2005 Date: November 22, 2005 Respondents INTRODUCTION Disciplinary Proceeding No. C05050026 was filed on May 23, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent James A. Swanke
Reference E052000056306data-portal.finra.org finra.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.