ELLEN TRACY KING

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/21/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046545901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ellen Tracy King, Respondent Non-Registered Fingerprint Individual CRD No. 6423921 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Ellen Tracy King, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2015046545901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6423921

Other names1

Also known as1

KING ELLEN TRACY

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