YEVGENIYA N. STRADLING
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/18/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Yevgeniya N. Stradling (CRD No. 4622048), Respondent DISCIPLINARY PROCEEDING No. 2010023036701 COMPLAINT The Department of Enforcement (the "Enforcement") alleges: SUMMARY 1. In December 2009, Yevgeniya N. Stradling ("Stradling") violated FINRA Rule 2010 by misappropriating $1,000. At the time, she was an independent contractor registered representative employed by Farmers Financial Solutions
09/08/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Yevgeniya N. Stradling (CRD No. 4622048), Respondent. Disciplinary Proceeding No. 2010023036701 Hearing Officer Andrew H. Perkins ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 8, 2011 INTRODUCTION Disciplinary Proceeding No. 2010023036701 was filed on July 18,2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).
Reference 2010023036701data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4622048 |
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