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FINRA Disciplinary Actions Online

Displaying 1 - 2 of 2
Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2016049414401 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEPHEN SLOANE (CRD No. 1257601), Respondent. Disciplinary Proceeding No. 2016049414401 Hearing Officer-MJD DEFAULT DECISION December 8, 2020 Respondent is barred from associating with any FINRA member firm in any capacity for recommending an unsuitable investment strategy to 14 customers and charging unfair prices to five customers, in violation of FINRA Rules 2111(a), 2121 and 2010. OHO Decisions
STEPHEN SLOANE
12/08/2020
2016049414401 FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Stephen Sloane CRD No. 1257601 Respondent. Disciplinary Proceeding No. 2016049414401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2014 to January 2018 (the “Relevant Period”), Stephen Sloane recommended an unsuitable investment strategy to 14 retail customers (the “Treasury customers”). Specifically, Sloane recommended that the Treasury customers engage in active, short-term trading of U.S. Treasuries with 10- and 30-year maturities, Complaints
Stephen Sloane
07/20/2020