Nex Systems
Type not stated

JERRY TODD SWICEGOOD

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

    07/13/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002683001 TO: Department of Enforcement NASD RE: Jerry Todd Swicegood CRD NO. 1445723 Pursuant to Rule 9216 of NASD Code of Procedure, Respondent Jetty Todd Swicegood submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described to Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring

    Reference 2005002683001data-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.