STEPHEN P. DUNBAR
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/20/2008: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Stephen P. Dunbar Atlanta, GA, Respondent DECISION Complaint No. C07050050 Dated: May 20, 2008 Respondent provided false account summaries to two customers, made unsuitable recommendations, and exercised discretion without written authority. Held, findings affirmed and sanctions modified. Appearances For the Complainant: Leo F. Orenstein, Esq., Department
Reference C07050050data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/10/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEPHEN P. DUNBAR (CRD No. 2041644), Respondent. Disciplinary Proceeding No. CO7O50O50 Hearing Officer - SNB HEARING PANEL DECISION August 10, 2006 Respondent (1) engaged in unsuitable trading in customer accounts, in violation of Rules 2310 and 2110; (2) provided customers with false and misleading account summaries, in violation of Rule 2110; and (3)
Reference C0720050050data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2041644 |
Other names1
Also known as1
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