WILLIAM C. BABB III

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/17/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033517201 TO: Department of Enforcement (''Enforcement") Financial Industry Regulatory Authority ("FINRA") RE: William C. Babb, III, Respondent ("Babb" or "Respondent") Former Registered Representative CRD No. 1276193 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2012033517201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1276193

Other names1

Also known as1

WILLIAM CECIL BABB, III

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