MICHAEL WAYNE EVANS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/19/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael Wayne Evans (CRD No. 1726255) Respondent. Disciplinary Proceeding No. 2009017222501 Hearing Officer LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: 04/19/11 INTRODUCTION Disciplinary Proceeding No. 2009017222501 was filed on January 24, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Michael Wayne Evans submitted an Offer
01/24/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael Wayne Evans (CRD No. 1726255), Respondent DISCIPLINARY PROCEEDING No. 2009017222501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period from July 2008 through January 2009 (the "Relevant Period"), while serving as a financial consultant in the Long Island, New York branch office of WaMu Investments, Inc. ("WaMu" or the "Firm"), Michael Wayne Evans ("Evans")
Reference 2009017222501data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1726255 |
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