ROBERT BLAKE ELLENDER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/31/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ROBERT BLAKE ELLENDER (CRD No. 2345532), Respondent. Disciplinary Proceeding No. 2015045846502 Hearing Officer-KBW DEFAULT DECISION May 31, 2017 Respondent is barred from associating with any FINRA member firm in any capacily for failing to respond fully and timely to requests for information and documents, in violation of FINRA Rules 8210 and 2010. Appearances For the Complainant
01/03/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Robert Blake Ellender (CRD No. 2345532), Respondent DISCIPLINARY PROCEEDING No. 2015045846502 HEARING OFFICER - COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Robert Blake Ellender failed to timely respond to multiple requests for documents and information, and subsequently completely failed to respond to additional requests for information and documents, in violation of FINRA
Reference 2015045846502data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2345532

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