Jeremy Nathan Swank entered the securities industry in 1999. He worked for LPL Financial from 2006 to 2010 before being terminated for failing to report a customer complaint.
According to a Letter of Acceptance, waiver and Consent, signed by Swank on August 18, 2011, Swank made a payment of 5,150 to a disgruntled customer in order to settle an oral complaint. Swank failed to inform LPL of this transaction. As a result, Swank was fined 5,000 by FINRA and suspended from association with any FINRA member firm in any capacity for ten business days.
After being terminated from LPL, Swank went to Summit Brokerage Service, where he has remained since 2010. Swank is still currently employed by Summit.
For more information on Jeremy Nathan Swank, his customer complaints, or FINRA violations, visit his BrokerCheck Report on FINRA’s website