STEPHEN JOHN KLINGER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/10/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061847901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stephen Klinger, Respondent Former General Securities Representative CRD No. 1294139 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Stephen Klinger submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2019061847901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1294139

Other names1

Also known as1

Stephen Klinger

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