STEPHEN ROY DESIDERIO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/19/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEPHEN ROY DESIDERIO, (CRD No. 2833627), Respondent. Disciplinary Proceeding No. E102004104901 Hearing Officer-Andrew H. Perkins DEFAULT DECISION September 19, 2007 Respondent provided false and misleading testimony to FINRA staff, in violation of Procedural Rule 8210 and Conduct Rule 2110. Respondent is barred from associating with any member firm in any capacity. Appearances Paul Hare, Senior
Reference E102004104901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2833627 |
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