Smockum, Stephen

File Number

202157

Status

Concluded

Outcome

Costs $10000.00; Fine $275000.00; Permanent Prohibition

Relevant documents:

Decision202157_fr.pdf

Decision202157.pdf

Order3-202157-FR

Agreed_Statement_of_Facts202157-FR

Agreed_Statement_of_Facts202157

Notices about this Proceeding:

10/13/21

MFDA announces disciplinary proceeding in respect of Stephen Smockum

Type:

Hearing Notice

11/22/21

MFDA schedule dates for Hearing on the Merits in the matter of Stephen Smockum

Type:

Hearing Notice

05/05/22

MFDA reschedules Hearing on the Merits in the matter of Stephen Smockum

Type:

Hearing Notice

07/14/22

MFDA Panel adjourns Hearing on the Merits in the matter of Stephen Smockum

Type:

Hearing Notice

07/18/22

MFDA Panel amends hearing start time in the matter of Stephen Smockum

Type:

Hearing Notice

07/19/22

MFDA Panel adjourns Hearing on the Merits in the matter of Stephen Smockum

Type:

Hearing Notice

10/04/22

MFDA Hearing Panel reserves judgment in the matter of Stephen Smockum

Type:

Decision Notice

03/10/23

New SRO Hearing Panel issues Decision and Reasons in the matter of Stephen Smockum

Type:

Decision Notice

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