MICHAEL R ECTON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/14/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DMICHAEL R. ECTON (CRD No. 4579793), Respondent. Disciplinary Proceeding No. 2007030784701 Hearing Officer-LBB DEFAULT DECISION April 14, 2010 Respondent Michael R. Ecton is barred from associating with any FINRA member firm in any capacity for each of three violations: falsifying documents in violation of NASD Conduct Rule 2110, making misrepresentations to his member firm in violation of NASD
Reference 2007010784701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4579793

Other names1

Also known as1

MICHAEL R. ECTON

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