STEVEN ROGER FENCE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/18/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007007969801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Steven Roger Fence, Respondent Registered Representative CRD No. 2618764 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2007007969801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2618764

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