ROBERT G. STEVENS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/12/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021010901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Oakbrook Investment Brokers, Inc., Respondent (CRD No. 22133) And Robert G. Stevens, Respondent Registered Principal (CRD No. 720687) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Oakbrook Investment Brokers, Inc. and Robert G. Stevens (collectively referred to as "Respondents"), submit this Letter of
Reference 2010021010901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	720687

Other names1

Also known as1

ROBERT GEORGE STEVENS

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