Byron Pat Treat

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/26/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060783602 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Byron Pat Treat (Respondent) General Securities Principal CRD No. 1466393 Pursuant to FINRA Rule 9216, Respondent Byron Pat Treat submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019060783602data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/24/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Great Nation Investment Corporation (CRD No. 19981) and Byron Pat Treat (CRD No. 1466393) DISCIPLINARY PROCEEDING No. 2011026374802 Hearing Officer: DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 24, 2014 Respondents. INTRODUCTION Disciplinary Proceeding No. 2011026374802 was filed on May 14, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA")
Reference 2011026374802data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1466393

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