Steven Kiyoto Hirata
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/31/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072592201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven Kiyoto Hirata (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 1188927 Pursuant to FINRA Rule 9216, Respondent Steven Hirata submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2021072592201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1188927 |
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