Stephen Dunbar Barred by FINRA

Stephen Patrick Dunbar (CRD #2041644, Registered Representative, Atlanta, Georgia) was barred from association with any FINRA member in any capacity. The sanction was imposed by the National Adjudicatory Council (NAC) following appeal of a hearing decision. The sanction was based on findings that Dunbar engaged in unsuitable trading in public customers’ accounts. The findings stated that,in an effort to conceal the unsuitable trading in the accounts, Dunbar provided the customers with false andmisleading account summaries. The findings also stated that Dunbar exercised discretion in the customers’ accounts without written authorization.

FINRA Case #C0720050050)