Steven Wood (CRD # 3073759, Registered Supervisor, Encino, California) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Wood consented to the described sanction and to the entry of findings that he failed to respond to FINRA requests for information and documents, and to appear for a FINRA on-the-record interview. (FINRA Case # 2007007809101)

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