LANCE E SLATER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/18/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150477395-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lance E. Slater, Respondent CRD No. 1191942 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
Reference 2015047739501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1191942

Other names1

Also known as1

LANCE E. SLATER

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