ELLINGTON LLOYD ELLIS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/07/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ELLINGTON LLOYD ELLIS (CRD No. 4287959), Respondent. Disciplinary Proceeding No. 2010024310601 Hearing Officer-David R. Sonnenberg DEFAULT DECISION June 7, 2013 Respondent is barred from associating with any FINRA member firm in any capacity for failing to respond to requests for information and documents, in violation of FINRA Rules 8210 and 2010. Appearances For the Department of Enforcement,
Reference 2010024310601finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4287959 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.