STEVEN KENNETH MAIDLOW

05/25/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. STEVEN MAIDLOW Registered Representative (CRD No. 1831371) Respondent Disciplinary Proceeding No. 2006005483001 Hearing Officer: COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Between in or about May 1999 and in or about May 2006, Steven Maidlow was registered as a general securities representative with Legg Mason Wood Walker, Inc., a member of NASD, now known as Citigroup Global Markets Inc

10/05/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. STEVEN MAIDLOW, CRD No. 1831371, Respondent. Disciplinary Proceeding No. 2006005483001 Hearing Officer Alan W. Heifetz ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 5, 2007 INTRODUCTION Disciplinary Proceeding No. 2006005483001 was filed on May 25, 2007, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA"), ("Complainant"). Respondent Steven Maidlow

Reference 2006005483001data-portal.finra.orgdata-portal.finra.orgfinra.org