SWS FINANCIAL SERVICES INC
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/29/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. SWS Financial Services, Inc. (CRD No. 17587), Respondent. DISCIPLINARY PROCEEDING No. 2011025622001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period from September 2009 to May 2011 ("review period"), SWS Financial Services, Inc. ("SWS" or "Respondent") had inadequate supervisory systems and written supervisory procedures ("WSPs") to supervise its variable an
08/13/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SWS FINANCIAL SERVICES, INC. (CRD No. 17587), Respondent. Disciplinary Proceeding No. 2011025622001 Hearing Officer-David M. FitzGerald EXTENDED HEARING PANEL DECISION August 13, 2015 Respondent's supervision of deferred variable annuity transactions did not comply with the requirements of FINRA Rule 2330 in certain respects, and Respondent thereby violated FINRA Rules 2330 and 2010 and NASD Rule
Reference 2011025622001data-portal.finra.orgfinra.orgdata-portal.finra.org
Other names1
Also known as1
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