Steven Robert Luftschein
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/13/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Steven Robert Luftschein (CRD No. 2690117), Respondent. Disciplinary Proceeding No. 2016051704303 Hearing Officer-DDM ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 13, 2021 INTRODUCTION Disciplinary Proceeding No. 2016051704303 was filed on May 13, 2020, by the
05/13/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Steven Robert Luftschein (CRD No. 2690117), Respondent. Disciplinary Proceeding No. 2016051704303 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Steven Robert Luftschein, while associated with Aegis Capital Corp. ("Aegis" or the "Firm"), a FINRA-regulated broker-dealer, churned and excessively traded the
Reference 2016051704303data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2690117 |
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