Stephen Leroy Whittaker Given 90 Day Suspension by FINRA

Without admitting or denying the findings, Stephen Leroy Whittaker, of Phoenix, AZ, was suspended from October 2020 to January 2021 for accepting compensation for tax preparation services from firm clients and not disclosing the activity to his firm. Read FINRA Case #2019062207301.


For more information on Stephen Leroy Whittaker, read the BrokerCheck Report here. CRD#831746.


Financial Industry Regulatory Authority, Inc. (FINRA) is an independent, non-governmental regulator who oversees the people and firms that sell stocks, bonds, mutual funds and other securities to the public in the United States.  They are authorized by Congress to protect investors. They do this by making sure the securities industry operates fairly and honestly with the public.