Gates Capital Corporation

Regulator action

United States. Named in 6 sanctions listings.

Sanctions and listings6

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/04/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050811301 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Gates Capital Corporation, Respondent Registered Broker-Dealer CRD No. 29582 John C. Fitzgerald, Respondent Former Registered Representative CRD No. 1529631 James D. Casey, Respondent Registered Principal CRD No. 500062 Youngwhi Kim, Respondent Registered Principal CRD No. 1394474 Pursuant to FINRA Rule 9216
Reference 2016050811301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/27/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100249373-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Gates Capital Corporation, Respondent Broker-Dealer CRD No. 29582 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Gates Capital Corporation, (the "firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This
Reference 2010024937301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/20/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20140431278-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Gates Capital Corporation, Respondent Broker/Dealer CRD No. 29582 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, Gates Capital Corporation (''the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2014043127801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100217888-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Gates Capital Corporation, Respondent Broker-Dealer CRD No. 29582 Pursuant to FINRA Rule 9216 of FINRA' s Code of Procedure, Gates Capital Corporation, (the ''firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2010021788801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/17/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130352500-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gates Capital Corporation, Respondent BD No. 29582 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Gates Capital Corporation ("Gates Capital" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2013035250001finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090168163-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE:. Gates Capital Corporation, Respondent Broker-Dealer, CRD No. 29582 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Gates Capital Corporation, (the "firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2009016816301data-portal.finra.org finra.org

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