Evan A Schottenstein
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/07/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063430401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Evan A Schottenstein (Respondent) Former General Securities Representative CRD No. 4929175 Pursuant to FINRA Rule 9216, Respondent Evan A Schottenstein submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019063430401finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4929175 |
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