Stephen L. Whittaker

Stephen Whittaker, Formerly of First Financial Equity, Fined and Suspended by FINRA Over Allegations of Unreported Outside Business Activities

Jeffrey Sonn
Oct 13, 2020
Posted in Broker / Advisor Investigations

Whittaker agreed to a six-month suspension and $5K fine in connection with the allegations. The Sonn Law Group is investigating allegations that Stephen Whittaker engaged[...]

Former First Financial Equity Broker Stephen Whittaker Terminated for Alleged Outside Business Activities

Jeffrey Sonn
May 22, 2019
Posted in Investment Loss Investigations

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[...]