STEVEN M OATES

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/29/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021601801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Steven M. Oates, Respondent Registered Representative CRD No. 5631816 Pursuant to FINRA Rule 9216 of the FINRA Code of Procedure, Steven M. Oates ("Respondent" or "Oates") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This
Reference 2010021601801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5631816

Other names1

Also known as1

STEVEN M. OATES

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