Jonathan Scot Zwickel of Houston Texas a stockbroker formerly registered with Clinger Co. Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Zwickel failed to cooperate with FINRA during the course of an investigation into allegations of the stockbroker’s undisclosed outside business activities. Letter of Acceptance Waiver and Consent No. 2020065586401 (Apr. 23, 2020).
According to the AWC, Zwickel became the subject of a FINRA investigation in 2020 concerning a possible outside business activity that he concealed from the securities broker dealer. The AWC stated that on March 18, 2020, Zwickel received a request from the regulator which called for his recorded testimony. FINRA stated that on March 19, 2020—a day after the request was made—Zwickel conveyed to FINRA that he understood what was asked of him. The AWC stated that Zwickel refused to appear or testify for the regulator. FINRA found that Zwickel’s failure to comply in the investigation constituted the violation of Rules 2010 and 8210.
Zwickel was registered with Clinger Co. Inc. until February 14, 2020 at which point the securities broker dealer had been expelled by FINRA. Zwickel has been associated with two different securities broker dealers which have been expelled by regulators for violation of federal securities laws or are otherwise defunct.
