GARY T. ARMITAGE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gary T. Armitage (CRD No. 1041078), Respondent. DISCIPLINARY PROCEEDING No. 20080143199-01 , COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Gary T. Armitage engaged in private securities transaction without appropriate notice to his member firm. He further executed two securities transactions for a customer without authorization.
01/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gary T. Armitage (CRD No. 1041078), Respondent. DISCIPLINARY PROCEEDING No.20080143199-01 HEARING OFFICER - MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 20, 2010 INTRODUCTION Disciplinary Proceeding No. 20080143199-01 was filed on September 14, 2009 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent
Reference 2008014319901data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1041078 |
Other names1
Also known as1
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