GREGORY J STOUFFER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/17/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062357401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gregory John Stouffer, Respondent Former General Securities Representative General Securities Principal, Municipal Securities Principal, and General Securities Sales Supervisor CRD No. 4213487 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Gregory John Stouffer ("Respondent") submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019062357401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4213487

Other names1

Also known as1

Gregory John Stouffer

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