{"id":2615,"date":"2017-01-18T00:00:00","date_gmt":"2017-01-18T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/broker-lance-slater-permanently-barred-finra\/"},"modified":"2018-10-08T12:37:47","modified_gmt":"2018-10-08T16:37:47","slug":"broker-lance-slater-permanently-barred-finra","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/broker-lance-slater-permanently-barred-finra\/","title":{"rendered":"Broker Lance Slater Has Been Permanently Barred by FINRA"},"content":{"rendered":"<\/p>\n

\"Broker<\/p>\n

The regulatory agency\u2019s sanction is related to money allegedly borrowed from a client<\/h2>\n

In March of 2016, broker Lance Slater was barred by the Financial Industry Regulatory Authority (FINRA). The agency had requested that Slater get in touch to discuss allegations against him, but because he didn\u2019t respond, he is no longer allowed to act as a broker or have any association with firms that sell securities.<\/p>\n

The major complaint against Slater came from a former client. The client\u2019s attorney alleged that in 2013, Slater borrowed over $200,000 from the client and was unable to pay it back. The lawyer also said that Slater traded the client\u2019s money excessively in unsuitable investments.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

The regulatory agency\u2019s sanction is related to money allegedly borrowed from a client In March of 2016, broker Lance Slater was barred by the Financial Industry Regulatory Authority (FINRA). The agency had requested that Slater get in touch to discuss allegations against him, but because he didn\u2019t respond, he is no longer allowed to act […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[588],"tags":[9],"class_list":["post-2615","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","tag-finra"],"yoast_head":"\nBroker Lance Slater Has Been Permanently Barred by FINRA — Securities Arbitration Lawyers Blog — January 18, 2017<\/title>\n<meta name=\"description\" content=\"Check out the new article Broker Lance Slater Has Been Permanently Barred by FINRA on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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