MELANIE ANN MELTON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/27/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MELANIE A. MELTON (CRD No. 4258504), Respondent. Disciplinary Proceeding No. 2016050951801 Hearing Officer - MJD DEFAULT DECISION June 27, 2018 Respondent is barred from associating with any FINRA member firm in any capacity for failing to produce information and documents during an investigation, in violation of FINRA Rules 8210 and 2010.
03/13/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Melanie A. Melton (CRD No. 4258504), Respondent. DISCIPLINARY PROCEEDING NO. 2016050951801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Melanie A. Melton failed to respond to two requests for written information and documents as requested pursuant to FINRA Rule 8210
Reference 2016050951801data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4258504 |
Other names1
Also known as1
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