STEVEN CRAIG KEIFNER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/11/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEVEN CRAIG KEIFNER (CRD No. 2103759), Respondent. Disciplinary Proceeding No. 2007009444701 Hearing Officer - MC DEFAULT DECISION September 11, 2009 Respondent Steven Craig Keifner ("Keifner") is barred from associating with any FINRA member firm in any capacity for: (i) engaging in unauthorized trading, in violation of Conduct Rule 2110 and IM-2310-2; (ii) engaging in unsuitable options trading,
04/14/2009: Financial Industry Regulatory Authority (FINRA) Office of Hearing Officers Department of Enforcement, Complainant, v. Steven Craig Keifner (CRD No. 2103759). Respondent. DISCIPLINARY PROCEEDING NO. 2007009444701 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between February through May 2006, Steven Craig Keifner ("Keifner"), a registered representative with A.G. Edwards & Sons, Inc. (the "Firm"), serviced the personal account of RAS, then a 68 year-old retired construction
Reference 2007009444701data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2103759

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