STEPHEN YARKPAZUO JENSEN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/11/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEPHEN YARKPAZUO JENSEN (CRD No. 4400624), Respondent. Disciplinary Proceeding No. 2010024062601 Hearing Officer-SNB HEARING PANEL DECISION June 11, 2013 Respondent is barred for misappropriating his customer's funds and forging endorsements on checks, in violation of NASD Rule 2110 and FINRA Rule 2010. In light of the
10/26/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Stephen Yarkpazuo Jensen (CRD No. 4400624), Respondent. DISCIPLINARY PROCEEDING No. 2010024062601 HEARING OFFICER: SNB AMENDED COMPLAINT The Department of Enforcement (the "Department") alleges: SUMMARY 1. Between March 30, 2007, and February 26, 2009 (the "relevant period"), while registered with a FINRA member firm,
Reference 2010024062601data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4400624 |
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