ALFRED P. MONTGOMERY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/03/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. ALFRED P. MONTGOMERY (CRD No. 4721887), Respondent. Disciplinary Proceeding No. C05040088 Hearing Officer - SNB DEFAULT DECISION May 3, 2005 Respondent is barred from associating with any NASD member firm in any capacity for failing to disclose material information on a Form U-4, in violation of NASD Conduct Rule 2110 and IM-1000-1. Appearances Laura Leigh Blackston, Esq., Senior Regional Attorney, New Orleans,
Reference C05040088finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4721887

Other names1

Also known as1

ALFRED PETER MONTGOMERY

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