CHARLES LOUIS BOLTON III
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/09/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHARLES LOUIS BOLTON III, CRD No. 1753380 Respondent. Disciplinary Proceeding No. 2006004356201 Hearing Officer COMPLAINT The Department of Enforcement alleges: 1. Respondent Charles Louis Bolton III (Bolton) was associated with NASD member, Advantage Capital Corporation (ACC or the Firm), from November 23, 1988 through December 19, 2005, when he was terminated. During this period, Bolton operated a branch office
06/29/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHARLES LOUIS BOLTON III (CRD No. 1753380), Respondent. Disciplinary Proceeding No. 2006004356201 Hearing Officer-AWH DEFAULT DECISION June 29,2007 Formerly registered representative (1) misused customer funds, in violation of NASD Conduct Rules 2330 and 2110, and (2) failed to respond to NASD staff requests for information, in violation of Procedural Rule 8210 and Conduct Rule 2110.
Reference 2006004356201data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1753380 |
Other names1
Also known as1
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