Stephen Michael Hart
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/22/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059557901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stephen Michael Hart, Respondent Former Registered Representative CRD No. 5021146 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Stephen Michael Hart ("Hart"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2018059557901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5021146 |
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