JOHN MONTAGUE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/15/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. John Montague (CRD No. 1466653), Respondent. DISCIPLINARY PROCEEDING NO. 2009018858601 COMPLAINT The Department of Enforcement alleges: OVERVIEW 1. Between July 2008 and July 2009 ("the relevant period"), John Montague ("Respondent") (CRD No. 1466653) converted more than $160,000 from four customers. He solicited them to make "Private investments" with him outside of his employing firm Questar
12/13/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN MONTAGUE (CRD No. 1466653), Respondent. Disciplinary Proceeding No. 2009018858601 Hearing Officer-Andrew H. Perkins DEFAULT DECISION December 13, 2011 Montague is barred from associating with any FINRA registered firm in any capacity for converting customer funds, in violation of NASD Rules 2330(a) and 2110 and FINRA Rule 2010; and failing to appear and testify at a scheduled on-the-record
Reference 2009018858601data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1466653 |
Other names1
Also known as1
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