BART JAMES ELLIS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/10/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BART JAMES ELLIS (CRD No. 4348559), Respondent. DISCIPLINARY PROCEEDING No. 2012034573001 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period June 2008 until August 2012, Respondent Bart James Ellis engaged in misconduct in connection with the account of one of his customers, K.C. Ellis placed discretionary trades in her account without
11/18/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BART JAMES ELLIS (CRD No. 4348559), Respondent. DISCIPLINARY PROCEEDING No. 2012034573001 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period June 2008 until August 2012, Respondent Bart James Ellis engaged in misconduct in connection with the account of one of his customers, K.C. Ellis placed discretionary trades in her account without
Reference 2012034573001finra.orgdata-portal.finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4348559 |
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