Gregory Robert Swenson (CRD #2236695, Lake Forest, Illinois)
was assessed a deferred fine of $75,000 and suspended by FINRA for allegedly making misleading and inaccurate statements to numerous corporate bond dealers while participating in and obtaining allocations of bonds for an unregistered proprietary trading firm.
Through Swenson, his firm placed orders for securities primarily in IPOs for corporate bonds for the unregistered proprietary trading firm. The misleading and inaccurate statements concerned the nature of Swenson’s firm’s business and identity of its customer who was participating in the bond allocations, and its status as a QIB (qualified institutional buyer), and foreign buyer.
FINRA's findings stated that Swenson caused his firm to fail to make required records by accepting orders without creating sufficient order records and by failing to create an account record for the unregistered proprietary trading firm.
The suspension is in effect from February 17, 2015, through February 16, 2017. (FINRA Case #2012033514203)
Gregory Robert Swenson was previously registered with the following securities firms:
01/2009 - 08/2014 AGINCOURT, LTD. (CRD# 36661) - CHICAGO, IL
09/2006 - 09/2008 HSBC SECURITIES (USA) INC. (CRD# 19585) - CHICAGO, IL
02/2006 - 08/2006 CANTOR FITZGERALD & CO. (CRD# 134) - CHICAGO, IL
09/2004 - 01/2006 MCDONALD INVESTMENTS INC. (CRD# 566) - CLEVELAND, OH
01/2003 - 09/2004 BLAYLOCK & PARTNERS, L.P. (CRD# 35669) - NEW YORK, NY
02/2001 - 12/2002 LEHMAN BROTHERS INC. (CRD# 7506) - NEW YORK, NY
04/1992 - 05/2000 LEHMAN BROTHERS INC. (CRD# 7506) - NEW YORK, NY
04/1992 - 02/1994 LEHMAN GOVERNMENT SECURITIES INC. (CRD# 19655)
04/1992 - 02/1994 LEHMAN SPECIAL SECURITIES INC. (CRD# 7242)
This ends the summary from FINRA's disciplinary report April 2015.
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