MICHAEL DENNIS MONTGOMERY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/11/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL DENNIS MONTGOMERY (CRD No. 2029289), Respondent. Disciplinary Proceeding No. 20090190544 Hearing Officer - LBB DEFAULT DECISION November 11, 2011 Respondent is barred from associating with any member firm in any capacity for failing to provide information, produce documents, and appear for an on-the-record interview, in violation of FINRA Rule 8210 and FINRA Conduct Rule 2010. Appearances
Reference 2009019054401data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2029289 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.