Hedge Fund News From HedgeCo.Net


NFA bars John Marc Schwaebe, orders Glenn Swanson to pay fine

(Opalesque) In two separate developments, the National Futures Association (NFA) barred John Marc Schwaebe, a former associated person, from membership for seven years and ordered Chicago, Ill. introducing broker Global Asset Advisors LLC and its principal Glenn Swanson to jointly pay a $200,000 fine. NFA has barred John Marc Schwaebe from NFA membership for seven years and from acting as a principal of an NFA Member for nine years. Schwaebe was an associated person (AP) at the Carlsbad, Calif. branch office of an NFA Member introducing broker (IB).

To read this article:

Related Posts Plugin for WordPress, Blogger...
This entry was posted in Syndicated. Bookmark the permalink.

Leave a Reply