RAYMOND C. STEPHENS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/12/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050032185-01 TO: Department of Market Regulation NASD FROM: Raymond C. Stephens CRD No. 830452 Pursuant to Rule 9216 of NASD Code of Procedure, I, Raymond C. Stephens, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. I submit this AWC on the condition that, if accepted, NASD will not bring any future actions against me alleging violations
Reference 2005003218501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	830452

Other names1

Also known as1

RAYMOND CECIL STEPHENS

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