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Stipek Financial Services, LLC

Date of Initial Action

06/29/2006

Date of Most Recent Action

06/29/2006

Defendant/Respondent

Stipek, Leslie Clark; Stipek Securities, LLC; Stipek Financial Services, LLC

Documents


  • 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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About the Regulated Entity

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Last updated: Sep 20, 2024 @ 6:38 pm