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Home > Blog > FINRA Discipline > Candice E. Montie | FINRA Disciplinary Action

Candice E. Montie | FINRA Disciplinary Action

Girard Bengali
March 31, 2021

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064819501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Candice E. Montie (Respondent) General Securities Representative CRD No. 4726799 Pursuant to FINRA Rule 9216, Respondent Candice E. Montie submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Case ID Number: 2019064819501

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