NICHOLAS EDWARD STOVALL

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/08/2025: Between March 2018 and August 2021, while associated with Gradient, Stovall participated in 11 private securities transactions totaling $1,401,690. Stovall did not provide any notice to Gradient prior to engaging in these transactions. As a result, Stovall violated FINRA Rules 3280 and 2010 and is barred from associating with any FINRA member in all capacities.
Reference 2023079339301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5581487

Other names1

Also known as1

Nicholas Stovall

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