ELLIS DWAYNE FREEMAN SR.

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/21/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007009815001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA'") RE: Ellis Dwayne Freeman, Sr., Respondent General Securities Representative CRD No. 4934216 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the
Reference 2007009815001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4934216

Other names1

Also known as1

ELLIS DWAYNE FREEMAN, SR

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