MACK ELLIS MONTGOMERY JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/03/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120331178 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Mack Ellis Montgomery, Jr., Respondent Former Registered Representative CRD No. 4971328 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Mack Ellis Montgomery, Jr. ("Montgomery"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2012033117801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4971328 |
Other names1
Also known as1
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