Stebbins, Jeffrey Michael

Jeffrey Michael Stebbins (CRD # 2575152, Registered Representative, Mesa, Arizona) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Stebbins consented to the described sanction and to the entry of findings that he failed to respond to FINRA requests to appear for an on-the-record interview and to provide information and documents. The findings stated that Stebbins knowingly provided false and/or misleading information in response to FINRA requests for information. The findings also stated that Stebbins engaged in his memberfirm’s investment banking and securities business in capacities requiring registration as a representative and principal, but he was not registered in those capacities. There were also findings that Stebbins engaged in an outside business activity, for compensation, without prior written notice to his member firm. FINRA found that Stebbins had a beneficial interest in securities accounts maintained at other member firms and failed to disclose to the carrying broker-dealers that he was associated with FINRA members, and also failed to give his member firms written notification that he had a financial interest in securities accounts with the carrying broker-dealers.

 
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