Harold James Swart Jr. (CRD #2912854, Registered Representative,
Kissimmee, Florida)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Swart consented to the described sanction and to the entry of findings that he willfully filed inaccurate Form U4s and failed to make other material disclosures on his Form U4s regarding an SEC suspension as well as a related administrative complaint filed by the State of Florida’s Board of Accountancy.
The FINRA findings also stated Swart failed to disclose his outside business activities to his member firm and his role as compensated registered agent for numerous additional entities.
FINRA's findings stated that Swart provided a misleading response to FINRA in connection with a request for information concerning whether any of his outside business activities had ever been alleged or accused to have breached any contract, engaged in any type of fraud or misrepresentation, engaged in any unfair or unethical business practice or violated any rule, regulation, statute or ordinance of law. Swart’s response to FINRA was misleading because one of his outside business activities was the subject of several filed lawsuits involving such allegations.
Swart knew, or should have known, about each of these lawsuits, because, he was properly served in each of the cases.
(FINRA Case #2009020083301)
This information was listed on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2012.”
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