GARTH A. MATHER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/08/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GARTH A MATHER (CRD No. 2986605), Respondent. Disciplinary Proceeding No. 2009016709701 Hearing Officer - LBB DEFAULT DECISION January 8, 2010 For Respondent's failure appear at on-the-record interviews, in violation of FINRA Procedural Rule 8210 and Conduct Rule 2010, Respondent is barred from associating with any FINRA member firm in any capacity. Appearances Michael A. Gross, Senior Regional
Reference 2009016709701finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2986605

Other names1

Also known as1

GARTH ANDREW MATHER

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