STEPHEN D. OATWAY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/16/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C04050018 To: Department of Enforcement NASD Re: Stephen D. Oatway General Securities Principal (CRD No. 3012900) Pursuant to Rule 9216 of the NASD Code of Procedure, I, Stephen D. Oatway (Oatway), 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. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against
Reference C04050018data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3012900

Other names1

Also known as1

STEPHEN DOUGLAS OATWAY

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