Brian Ellerson of Bradenton, Florida, submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Department of Enforcement of the Financial Industry Regulatory Authority for allegedly not providing prior written notice in regard to a private securities transaction.
Ellerson first became registered with FINRA in 1999 as a General Securities Representative. From December 2009 to July 2013, Ellerson was registered as an Equity Trader Limited Representative and Investment Banking Representative through MKM Partners LLC (MKM Partners). On July 22, 2013, Ellerson resigned MKM Partners and filed a Uniform Termination Notice for Securities Industry Registration (Form U5). Continue reading →