PENNY D. MONTALVO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/09/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006004558801 TO: Department of Enforcement NASD RE: Penny D. Montalvo, Respondent General Securities Representative CRD No. 2996228 Pursuant to Rule 9216 of NASD Code of Procedure, Penny D. Montalvo ("Montalvo") submits 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 condition that, if accepted, NASD will not bring any
Reference 2006004558801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2996228

Other names1

Also known as1

PENNY DORTON MONTALVO

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