LESLIE C. STIPEK

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/05/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005166801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Leslie C. Stipek, Respondent Investment Company Products/Variable Contracts Representative, Investment Company Products/Variable Contracts Principle and Introducing Broker/Dealer Financial and Operations Principal CRD No. 1200931 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Leslie C. Stipek, submit this Letter
Reference 2006005166801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1200931

Other names1

Also known as1

LESLIE CLARK STIPEK

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