Stephen C. Carver

05/13/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEPHEN C. CARVER (CRD NO. 2230161), Respondent Disciplinary Proceeding No. 2017056071301 Hearing Officer-JP DEFAULT DECISION May 13, 2019 Carver willfully failed to timely disclose three tax liens on his Form U4 and falsely attested to his employer that he had made required disclosures on his Form U4.

01/03/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Stephen C. Carver (CRD No. 2230161), Respondent. Disciplinary Proceeding No. 2017056071301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period from April 2013 through November 2016, Stephen C. Carver willfully failed to timely ammend his Uniform Application for Securities Industry Registration or Transfer ("Form U4") to disclose

Reference 2017056071301data-portal.finra.orgdata-portal.finra.orgfinra.org

01/02/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062034601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen Carver, Respondent Former General Securities Representative and General Securities Principal CRD No. 2230161 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Stephen Carver submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2019062034601data-portal.finra.orgfinra.org