Steven Douglas Schisler, of Grass Valley, California, a stockbroker formerly registered with IFS Securities, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Order Accepting Offer of Settlement. Disciplinary Proceeding No. 2018058718601 (January 31, 2022). FINRA found that Schisler engaged in nine separate sales practice…
Steven Douglas Schisler of Grass Valley California a stockbroker formerly registered with IFS Securities has been charged by Financial Industry Regulatory Authority (FINRA) with engaging in private securities transactions, making unsuitable recommendations and failing to cooperate with FINRA during the period that he was under investigation. Department of Enforcement v. Steven Douglas Schisler Disciplinary Proceeding…
Steven Douglas Schisler of Grass Valley California a stockbroker formerly registered with IFS Securities is the subject of a Financial Industry Regulatory Authority (FINRA) investigation where the regulator believes that disciplinary action should be pursued against Schisler for allegedly providing unsuitable investment recommendations to customers in violation of FINRA Rules 2010 and 2111(a). FINRA Case…
Steven Douglas Schisler of Grass Valley California a stockbroker formerly employed by IFS Securities has been referenced in an investigation initiated by Financial Industry Regulatory Authority (FINRA) on June 13, 2019 into accusations that the stockbroker failed to comply with FINRA Rules 2010 and 8210 by (1) attempting to condition a settlement of a customer…
Steven Douglas Schisler of Grass Valley California a stockbroker currently registered with IFS Securities is referenced in a civil action brought in the Nevada County Superior Court of Nevada City California where the plaintiff sought restitution based upon allegations that while Schisler was associated with IFS Securities Inc. (1) fiduciary duties owed to the plaintiff…