STEVEN ELLSWORTH LARSON

06/14/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEVEN E. LARSON (CRD No. 2422755), Respondent. Disciplinary Proceeding No. 2014039174202 Hearing Officer-DRS EXTENDED HEARING PANEL DECISIOIN June 14, 2018 Respondent is (1) suspended for 18 months for submitting materially misleading Continuing Membership Applications to FINRA;

09/21/2020: BEFORE THE FINANCIAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Steven E. Larson Nisswa, MN, Respondent. DECISION Complaint No. 2014039174202 Dated: September 21, 2020 Registered principal fraudulently misrepresented and omitted material facts, failed to comply fully and promptly with FINRA requests for information, backdated and provided falsified records to FINRA, and filed a misleading

05/11/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Steven E. Larson (CRD No. 2422755), Respondent. DISCIPLINARY PROCEEDING No. 2014039174202 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between May 2013 and March 2015, while associated with Oakbridge Financial Services, Inc. ("Oakbridge" or ''the Firm"), a FINRA broker-dealer, the Respondent, Steven Larson, made a series of false statements and material omissions of fact,

Reference 2014039174202data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org