Lisa Marie Stevenson (also known as Lisa Marie Gastaldo) of New Albany Ohio a stockbroker formerly registered with The Huntington Investment Company has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that she failed to cooperate with FINRA while she was under investigation for possibly receiving unauthorized gifts from customers when registered with the securities broker dealer. Letter of Acceptance Waiver and Consent No. 2020068942001 (Feb. 2, 2021).
According to the AWC, FINRA was notified on December 17, 2020 that Stevenson was terminated by Huntington supported by allegations of her admission to receiving a $100,000.00 gift from a customer in violation of FINRA rules and Huntington’s policy.
The AWC stated that on December 23, 2020, FINRA sought more information regarding the circumstances of Stevenson’s termination. The stockbroker was asked by the regulator to provide documents and information in response to Huntington’s accusations against her. FINRA received an email from Stevenson on January 12, 2021 indicating that she would not provide any documents and information at any point. Her refusal to cooperate in the investigation constituted the violation of FINRA Rules 2010 and 8210.
Stevenson was registered with Huntington between March 28, 2016 and December 10, 2020.
