GREAT NATION INVESTMENT CORPORATION
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/04/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Great Nation Investment Corporation (CRD No. 19981) Respondent DISCIPLINARY PROCEEDING No. 2008011602901 Hearing Officer: MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 4, 2011 INTRODUCTION Disciplinary Proceeding No. 2008011602901 was filed on December 1, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA). Respondent Great Nation Investment
Reference 2008011602901finra.orgdata-portal.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.orgfinra.org
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