GARY L. FLATER
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/04/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010024892001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gary L. Flater, Respondent General Securities Representative CRD No. 1049132 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Gary L. Flater, submits 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
Reference 2010024892001data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/14/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E3A2005004701 TO: Department of Enforcement NASD RE: MCL Financial Group, Inc., Respondent Member Firm CRD No. 41180 Gary L. Flater, Respondent Financial and Operations Principal CRD No. 1049132 Pursuant to Rule 9216 of NASD Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition
Reference E3A2005004701finra.orgdata-portal.finra.org
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