David Michael Stevens
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/21/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068606301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Michael Stevens (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2830472 Pursuant to FINRA Rule 9216, Respondent David Michael Stevens submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020068606301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2830472 |
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