DAVID L. STEADMAN

12/06/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID L. STEADMAN (CRD No. 2371970), Respondent. Disciplinary Proceeding No. 2005000613301 Hearing Officer - DMF DEFAULT DECISION December 6,2006 Summary Respondent is barred from associating with any NASD member in any capacity for forging customers' signatures on documents, in violation of Rule 2110, and for failing to appear for testimony, in violation of Rules 8210 and 2110. Appearances David F. Newman, Esq., Philadelphia,

05/22/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID L. STEADMAN CRD No. 2371970, Respondent. Disciplinary Proceeding No. 2005000613301 Hearing Officer - COMPLAINT Upon information and belief, Complainant alleges as follows: 1. On or about July 8, 2003, David L. Steadman ("Steadman") first became registered with NASD as a General Securities Representative. 2. Steadman was registered with Ameriprise Financial Services, Inc. ("Ameriprise") (formerly American Express Financial

Reference 2005000613301data-portal.finra.orgdata-portal.finra.orgfinra.org