SCOTT DOUGLAS STEPHENSON

04/05/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100257691-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Scott Douglas Stephenson, Respondent General Securities Representative Investment Company and Variable Contracts Products Representative CRD No. 2057439 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Scott D. Stephenson submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2010025769101finra.orgdata-portal.finra.org

01/26/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SCOTT D. STEPHENSON Respondent. DISCIPLINARY PROCEEDING No. 20070114369-02 HEARING OFFICER - LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 25, 2011 INTRODUCTION Disciplinary Proceeding No. 20070114369-02 was filed on April 7, 2010 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Scott D. Stephenson submitted an Offer of

04/07/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Scott D. Stephenson (CRD No. 2057439), Respondent. DISCIPLINARY PROCEEDING NO. 20070114369-02 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Scott D. Stephenson made unsuitable recommendations to three customers. Further, he forged the signatures of four customers on various documents without the custom

Reference 2007011436902data-portal.finra.orgfinra.orgdata-portal.finra.org