Michael Lancaster

Regulator action

United States. Named in 3 sanctions listings.

Sanctions and listings3

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/11/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070463601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Joseph Lancaster (Respondent) Former General Securities Representative CRD No. 1353552 Pursuant to FINRA Rule 9216, Respondent Michael Joseph Lancaster submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2021070463601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/02/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2004099501 TO: Department of Enforcement NASD Re: Michael J. Lancaster, Respondent General Representative CRD No. 1353552 Pursuant to Rule 9216 of NASD Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging
Reference E8A2004099501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/09/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081173101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Michael Lancaster (Respondent) Former General Securities Representative CRD No. 6992330 Pursuant to FINRA Rule 9216, Respondent Michael Lancaster submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2024081173101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6992330

Other names2

Also known as2

Michael Joseph LancasterMICHAEL J. LANCASTER

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