STEPHEN PAUL GRANTHAM
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/17/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY DEPARTMENT OF ENFORCEMENT, OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. STEPHEN PAUL GRANTHAM, CRD NO. 4673736 DISCIPLINARY PROCEEDING NO. 2008012871301 Hearing Officer-MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 17, 2009 INTRODUCTION Disciplinary Proceeding No. 2008012871301 was filed on July 7,2009,
07/02/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. STEPHEN PAUL GRANTHAM CRD NO. 4673736 RESPONDENT DISCIPLINARY PROCEEDING No. 2008012871301 COMPLAINT The Department of Enforcement alleges: SUMMARY This case involves a registered representative who converted bank customer funds to his personal use. The representative also failed to respond to FINRA requests for
Reference 2008012871301data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4673736 |
Other names1
Also known as1
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