WILLIE LEE HINES III
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/22/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. WILLILE LEE HINES, III (CRD No. 4306809), Respondent. Disciplinary Proceeding No. 2008015675001 Hearing Officer-LBB DEFAULT DECISION April 22, 2010 For Respondent's failure to provide information, in violation of FINRA Procedural Rule 8210 and Conduct Rule 2010, Respondent is barred from associating with any FINRA member firm in any capacity. Appearances Chun Li, Esq., Counsel, FINRA, New York, New
Reference 2008015675001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4306809 |
Other names1
Also known as1
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