Andrew S. Mack

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/23/2025: From May 2021 to July 2023, Mack exercised discretion without written authorization in connection with approximately 1,700 trades in 84 customer accounts in violation of FINRA Rules 3260(b) and 2010. For that violation, Mack is suspended for three months in all capacities and fined $10,000.
Reference 2023077059101data-portal.finra.org finra.org

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