WILLIAM L. TATRO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/10/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILLIAM L. TATRO (CRD No. 808176), Respondent. Disciplinary Proceeding No. 2011026874301 Hearing Officer-Andrew H. Perkins HEARING PANEL DECISION December 10, 2013 Respondent failed to respond to requests for information and documents, in violation of FINRA Rules 8210 and 2010. Respondent is barred and ordered to pay costs. Appearances For the DEPARTMENT OF ENFORCEMENT, Complainant, Margaret M.
Reference 2011026874301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	808176

Other names1

Also known as1

WILLIAM LEWIS TATRO

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