David Allen Maute

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/03/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071386501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Allen Maute (Respondent) Former Investment Company Shares and Variable Contracts Representative CRD No. 4307126
Reference 2021071386501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4307126

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