NOTE: Stipulations of Fact and Consent to Penalty (SFC); Offers of Settlement (OS); and Letters of Acceptance Waiver, and Consent (AWC) are entered into by Respondents without admitting or denying the allegations, but consent is given to the described sanctions & to the entry of findings. Additionally, for AWCs, if FINRA has reason to believe a violation has occurred and the member or associated person does not dispute the violation, FINRA may prepare and request that the member or associated person execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive such member's or associated person's right to a hearing before a hearing panel, and any right of appeal to the National Adjudicatory Council, the SEC, and the courts, or to otherwise challenge the validity of the letter, if the letter is accepted. The letter shall describe the act or practice engaged in or omitted, the rule, regulation, or statutory provision violated, and the sanction or sanctions to be imposed.

Steven Vincent Donato
AWC/2009021029601

Donato distributed the answer key to a state long-term care continuing education exam, and provided part of his social security number to an individual so that the individual could satisfy a continuing education exam online requirement of having someone proctor the exam, even though Donato was not present when the individual signed on to take tine exam. Donato failed to respond to a FINRA request to provide testimony.

 

Steven Vincent Donato: Barred

Tags: Continuing Education  Testing