STEVEN M. SPEKTOR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/03/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEVEN M. SPEKTOR (CRD No. 4743058), Respondent. Disciplinary Proceeding No. 20090192254 Hearing Officer-Andrew H. Perkins DEFAULT DECISION May 3, 2011 Respondent is barred from associating with any FINRA registered firm in any capacity for converting insurance premium payments, in violation of FINRA Conduct Rule 2010; and for failing to respond to requests for information, in violation of
12/22/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Steven M. Spektor (CRD No. 4743058), Respondent DISCIPLINARY PROCEEDING No. 20090192254 COMPLAINT The Department of Enforcement (the "Enforcement") alleges: SUMMARY 1. During the period from April 2009 to July 2009, Steven M. Spektor ("Spektor"), at the time an independent contractor registered representative employed by Farmers Financial Solutions LLC ("Farmers Financial"), a FINRA registrant,
Reference 2009019225401data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4743058 |
Other names1
Also known as1
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