Stephen L. Whittaker (CRD# 831764) was a previously registered broker with First Financial Equity from 2012 to 2019, based in Surprise, Arizona.
Mr. Whittaker was recently terminated from his former employer in connection with alleged undisclosed outside business activities, including tax planning for clients of the firm.
According to his BrokerCheck report, Mr. Whittaker also has a pending customer dispute against him, filed on April 22, 2019. The dispute, which requested $35,000 in damages, alleges that Mr. Whittaker engaged in unauthorized trades and raises concerns over their suitability.
Mr. Whittaker has had one other customer complaint against him, filed in 2013. Mr. Whittaker denied any wrongdoing and the dispute was closed with no action.
Prior to his employment with First Financial, Mr. Whittaker held a position with Morgan Stanley from which he resigned in 2012.
His resignation followed allegations that he communicated with third parties regarding client accounts without proper authorization and that he was involved in unapproved outside business activities.
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