David Alan Stateman
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/01/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063797402 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Alan Stateman (Respondent) Investment Company and Variable Contracts Products Representative CRD No. 5530638 Pursuant to FINRA Rule 9216, Respondent David Alan Stateman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019063797402finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5530638 |
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