Defendant Name:
Brian Scott Zwerner
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Brian Scott Zwerner
First Document Date
26-Aug-2014
Initial Filing Format
Administrative Action
File Number
3-16038
Allegation Type
Municipal Securities & Public Pensions
Affiliations
- Former: Manager of Municipal Derivatives Trading Desk at Banc of America Securities, LLC (July 1998—November 2002)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
- Bar from participating in any penny stock offering (of unspecified duration)
First Resolution Date
