FREDD E MONTOYA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/17/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006004240801 TO: Department of Enforcement NASD RE: Fredd E. Montoya, Respondent Former Associated Person CRD No. 5084788 Pursuant to Rule 9216 of NASD Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging violation
Reference 2006004240801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5084788

Other names1

Also known as1

FREDD E. MONTOYA

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