SCOTT GEORGE STEFFEK
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/13/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SCOTT GEORGE STEFFEK (CRD No. 4217891), Respondent. Disciplinary Proceeding No. 2008014677601 Hearing Officer - LBB DEFAULT DECISION September 13, 2010 Respondent Scott George Steffek is barred from associating with any member firm in any capacity for failure to provide information, in violation of FINRA Procedural Rule 8210
Reference 2008014677601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4217891 |
Other names1
Also known as1
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