STEVEN PATRICK MCCORMICK

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/22/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2023077823001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven P. McCormick (Respondent) General Securities Representative CRD No. 5059233 Pursuant to FINRA Rule 9216, Respondent Steven P. McCormick submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2023077823001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5059233

Other names1

Also known as1

Steven P. McCormick

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