RANDY WILLIS HAYES III

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/25/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RANDY WILLIS HAYES III (CRD No. 5361647), Respondent. Disciplinary Proceeding No. 2011026546701 Hearing Officer - David R. Sonnenberg DEFAULT DECISION June 25, 2013 Respondent is barred from associating with any FINRA member firm in any capacity for: (i) converting customers' funds, in violation of FINRA Conduct Rule 2010; (ii) forging customers' names to effectuate the conversions, in violation
Reference 2011026546701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5361647

Other names1

Also known as1

RANDY WILLIS HAYES, III

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