TIMOTHY A ELLS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040458001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Timothy A. Ells Limited Representative CRD No. 6005057 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Timothy A. Ells ("Respondent" or ''Ells") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2014040458001finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	6005057

Other names1

Also known as1

TIMOTHY A. ELLS

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