MAURICE W. ABNEY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/14/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO E8A2004089I To: Department of Enforcement NASD Re: Maurice W. Abney Registered Investment Company and Variable Contracts Products Principal and Representative CRD # 2733649 Pursuant to Rule 9216 of NASD Code of Procedure, Maurice W. Abney ("Abney" or "Respondent") submits 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.
Reference E8A2004089101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2733649

Other names1

Also known as1

MAURICE WAYNE ABNEY

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