STEPHEN GRIVAS

03/29/2016: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No. 77470 / March 29, 2016 Admin. Proc. File No. 3-16756 In the Matter of the Application of STEPHEN GRIVAS For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION-REVIEW OF DISCIPLINARY PROCEEDINGS Conversion Associated person ofmember firm of registered securities association converted funds of an investment fund he managed and transferred those funds

04/30/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. STEPHEN GRIVAS (CRD No. 1829703), RESPONDENT. DISCIPLINARY PROCEEDING No. 2012032997201 HEARING OFFICER COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In June 2012, while he was registered with FINRA member firm Obsidian Financial Group LLC ("Obsidian"), Respondent Stephen Grivas converted approximately $280,000 of investor funds raised through a fund he formed to purchase

07/16/2015: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Stephen Grivas Jericho, NY, Respondent. DECISION Complaint No. 2012032997201 Dated: July 16, 2015 Registered representative converted monies of an investment fund. Held, findings and sanction affirmed. Appearances For the Complainant: Leo F. Orenstein, Esq., Vaishali Shetty, Esq., Department of Enforcement, Financial Industry Regulatory Authority For the

02/14/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. STEPHEN GRIVAS (CRD No. 1829703), Respondent. Disciplinary Proceeding No. 2012032997201 Hearing Officer - David R. Sonnenberg HEARING PANEL DECISION February 14, 2014 Respondent is barred from associating with any member firm in any capacity for converting funds, in violation of FINRA Rule 2010, and ordered to pay hearing costs. Appearances For the Department of Enforcement, Complainant

Reference 2012032997201data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org