STEVEN DUNCAN KOWALSKE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/20/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080133370 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Steven Kowalske Limited Registered Principal CRD No. 4742065 Pursuant to FINRA's Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2008013337001finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4742065

Other names1

Also known as1

STEVEN KOWALSKE

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