2023079740101 Stephen F. Grande CRD 2838265 AWC gg (2024-1712190004323).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2023079740101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Stephen F. Grande (Respondent)
General Securities Representative
CRD No. 2838265
Pursuant to FINRA Rule 9216, Respondent Stephen F. Grande submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.