FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Stephen G. Whitman CRD No. 2230369, Respondent. Disciplinary Proceeding No. 2021071227301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Stephen G. Whitman failed to respond to FINRA’s requests for information and documents made pursuant to FINRA Rule 8210 in September and October 2021. As a result, Whitman violated FINRA Rules 8210 and 2010. RESPONDENT AND JURISDICTION