William Edwards Ellis
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/25/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065914202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Edwards Ellis (Respondent) Former General Securities Representative CRD No. 6770635 Pursuant to FINRA Rule 9216, Respondent William Ellis submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020065914202data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6770635 |
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