CRAIG LOUIS STEVENS

CRAIG LOUIS STEVENS is currently employed as a Broker and/or Investment Adviser at CHARLES SCHWAB & CO., INC. located at 300 FIFTH AVE SOUTH, SUITE #105, NAPLES, FL, 34102-6516.

CRAIG LOUIS STEVENS has worked at CHARLES SCHWAB & CO., INC. since December 20, 2002

Disclosure History

CRAIG LOUIS STEVENS has 2 Disclosure Event(s).

Date: July 20, 1998
Category: Regulatory
Initiated By: SC Securities Division
Allegations: Not Provided
Resolution: Consent Sanction Details: Consent Order of agreement not to reapply in SCfor a period of 5 years.
Broker Comment: IN A LETTER DATED MAY 13, 1998 THE STATE OF SOUTHCAROLINA REQUESTED ADDITIONAL INFORMATION FROM MY FIRMWATERHOUSE SECURITIES ACTING ON MY BEHALF. THE STATE OF SOUTHCAROLINA'S LETTER ADVISED THAT APPLICANTS APPLICATION WOULD BEDENIED IF WE DID NOT RESPOND WITHIN (30) DAYS OF THE DATE OFTHE LETTER. ON TUESDAY 05/26/98 VIA INTEROFFICE MAIL I FEDERALEXPRESSED ALL NECESSARY PAPERS TO MY WATERHOUSE REGISTRATIONDEPT. I CONFIRMED RECEIPT THE NEXT DAY WITH WATERHOUSESECURITIES REGISTRATION DEPT PERSONNEL. I FELT CONFIDENT OF MYSUCCESSFULL SOUTH CAROLINA REGISTRATION SINCE 49 OTHER STATESHAD ALREADY REGISTERED ME IN 1998. HOWEVER DUE TO HUMAN ERRORWATERHOUSE REGISTRATION DEPT FAILED TO SEND INFORMAATION.HENCE, SOUTH CAROLINA WROTE "FOLLOWING CONVERSATION WITHAPPLICANT BY AND THROUGH HIM AND HIS FIRMS REP MYRNA MARCELINSECURITIES DIVISION AND APPLICANT AGREE MOST APPROPRIATE WAY TOHANDLE FAILURE TO MEET DEADLINE IS BY NEGOTIATED CONSENT ORDER.

Date: December 27, 1989
Category: Regulatory
Initiated By: MICHIGAN
Allegations: REGISTRATION WAS REVOKED DUE TO THE FAILURE TO PAY THE BALANCE OF THE $30 1989 RENEWAL FEE, IN THE AMOUNT OF $15. DOCKET/CASE NO. NOT PROVIDED. ORDER DATED 12/27/89.
Resolution: Order SanctionDetails:
Sanctions: Revocation/Expulsion/Denial Sanction Details: REGISTRATION WAS REVOKED DUE TO THE FAILURE TO PAY THE BALANCE OF THE $30 1989 RENEWAL FEE, IN THE AMOUNT OF $15. DOCKET/CASE NO. NOT PROVIDED. ORDER DATED 12/27/89.
Broker Comment: ADMINISTRATIVE ERRO WITH INVESTOR CENTER INC.FIRM FILED FILED BANKRUPTCY IN 1989.

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