Tag Archives: Stephen Leroy Whittaker

First Financial Stockbroker Sanctioned For Outside Activities

November 04, 2020  |   Posted by :   |   Securities Arbitration Claims, Selling Away and Outside Activities   |   Comments Off on First Financial Stockbroker Sanctioned For Outside Activities

Stephen Leroy Whittaker of Surprise Arizona a stockbroker formerly registered with First Financial Equity Corporation has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he engaged in outside business activities. Letter of Acceptance Waiver and Consent No. 2019062207301 […]

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