License or Case Number:
Date of Initial Action:
Defendants/Respondents: Stipek, Leslie Clark; Stipek Securities, LLC; Stipek Financial Services, LLC
- Order Barring Leslie Clark Stipek from any position of Employment, Management or Control of any Investment Adviser, Broker-Dealer or Commodity Adviser pursuant to Corporations Code section 25213
- Order Revoking Stipek Securities, LLC’s Certificate as a Broker-Dealer pursuant to Corporations Code section 25212
- Desist & Refrain Order
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