JEFFREY ALAN STEWART
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/19/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jeffrey Alan Stewart CRD No. 4178470, Respondent. DISCIPLINARY PROCEEDING No. 2012035316101 COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. Between February 2012 and May 2012 (the "Relevant Period"), while associated with a FINRA-regulated entity, Jeffrey Alan Stewart ("Respondent") converted $54,000 from customers of his FINRA-regulated employer in violation
07/01/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JEFFREY ALAN STEWART (CRD No. 4178470), Respondent. Disciplinary Proceeding No. 2012035316101 Hearing Officer-KBW DEFAULT DECISION July 1, 2015 Respondent is barred from associating with any FINRA member firm in any capacity for converting customer funds in violation of FINRA Rules 2150(a) and 2010, impersonating a customer in violation of FINRA Rule 2010, and failing to respond fully to
Reference 2012035316101finra.orgdata-portal.finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4178470 |
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