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
  • Accusation
  • Desist & Refrain Order

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Last updated: Jun 10, 2019 @ 1:37 pm