Steven Douglas Schisler
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/13/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Steven Douglas Schisler CRD No. 2367961, Respondent. Disciplinary Proceeding No. 2018058718601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From April 2009 to October 2020, Steven D. Schisler committed nine separate
01/31/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Steven Douglas Schisler CRD No. 2367961, Respondent. Disciplinary Proceeding No. 2018058718601 Hearing Officer: LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 31, 2022 INTRODUCTION Disciplinary Proceeding No. 2018058718601 was filed on April 13, 2021, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Steven Douglas Schisler submitted
Reference 2018058718601data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2367961 |
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