Defendant Name: Jeffrey Swanson

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Jeffrey Swanson
First Document Date 30-Jan-2009
Initial Filing Format Administrative Action
File Number 3-13358
Allegation Type Investment Advisers/Investment Companies


Violations Alleged

Related Violations Alleged

Jeffrey Swanson is alleged to have aided and abetted Merrill Lynch, Pierce, Fenner & Smith Incorporated's violation of Section 206(2) Advisers Act (willfully/knowingly).


First Resolution Date 30-Jan-2009

Related Documents:

IA-2835 30-Jan-2009 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order as to Jeffrey Swanson

Related Actions:

In the Matter of Michael A. Callaway
In the Matter of Merrill Lynch, Pierce, Fenner & Smith Inc.