Proceeding Number 2012032997201

Hearing Panel Decision in Department of Enforcement v. Stephen Grivas

February 14, 2014

Respondent is barred from associating with any member firm in any capacity for converting funds, in violation of FINRA Rule 2010, and ordered to pay hearing costs.

 

This decision has been appealed or called for review. While the appeal or call for review is pending, the findings and sanctions imposed in this decision are subject to review and modification by FINRA or the SEC.

View Decision (PDF 156 KB)