Disciplinary Matters

STEVEN L. HENNING

STEVEN L. HENNING, Stamford, CT, had his membership in the NYSSCPA terminated, effective January 29, 2020, under the provisions of Article XIII (formerly Article XII) – Professional Conduct and Disciplinary Proceedings, Section 5, Automatic Discipline, as a result of disciplinary action taken by the Securities and Exchange Commission (SEC).  Specifically, the SEC denied Mr. Henning the privilege of appearing or practicing before the SEC. The action was based on the SEC’s “Order of Suspension Pursuant to Rule 102(e)(2) of the Commission’s Rules of Practice.” Further details regarding the SEC’s Order can be found here. As stated in the Order, a judgment of conviction was entered in the United States Attorney’s Office for the Southern Director of New York, where Mr. Henning was found guilty of two counts of wire fraud, a felony. (published March 2021).