STEVEN MARK PEASLEE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/02/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEVEN MARK PEASLEE, (CRD No. 2285838) Respondent. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period from February 2009 through June 2009, Steven Mark Peaslee participated in private securities transactions by selling a private securities offering of a company he owned and controlled (Offering)
10/13/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEVEN MARK PEASLEE, (CRD No. 2285838) Respondent. Disciplinary Proceeding No. 2009020134201 Hearing Officer: LBB ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2009020134201 was filed on August 2, 2011 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)
Reference 2009020134201data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2285838

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