ANE S PLATE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/26/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE WAIVER AND CONSENT NO. 2014041705101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ane S. Plate, Respondent CRD NO. 1977401 Pursuant to FINRA Rule 9216 of FINRA's 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 below. This AWC is submitted on the condition
Reference 2014041705101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1977401

Other names1

Also known as1

ANE S. PLATE

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