STEPHEN GREGORY WHITMAN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/08/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Stephen G. Whitman CRD No. 2230369, Respondent. Disciplinary Proceeding No. 2021071227301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Stephen G. Whitman failed to respond to FINRA’s requests for information and documents made pursuant to FINRA Rule 8210 in September and October 2021. As a result, Whitman violated FINRA Rules 8210 and 2010. RESPONDENT AND JURISDICTION
07/12/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEPHEN G. WHITMAN (CRD No. 2230369), Respondent. Disciplinary Proceeding No. 2021071227301 Hearing Officer-MJD DEFAULT DECISION July 12, 2022 Respondent is barred from associating with any FINRA member firm in any capacity for failing to comply with requests for information and documents during a FINRA investigation, in violation of FINRA Rules 8210 and 2010.
Reference 2021071227301data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2230369 |
Other names1
Also known as1
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