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FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2018059872901 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059872901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Douglas William Stopkey (Respondent) General Securities Representative CRD No. 2209717 Pursuant to FINRA Rule 9216, Respondent Douglas William Stopkey 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 AWCs (Letters of Acceptance, Waiver, and Consent)
Douglas William Stopkey