JOEL I. WILSON

11/02/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. W R Rice Financial Services, Inc. (CRD No. 36700), and Joel I. Wilson (CRD No. 5334955), Respondents. DISCIPLINARY PROCEEDING No. 2012030531101 NOTICE OF INITIATION OF PROCEEDING SEEKING A TEMPORARY CEASE AND DESIST ORDER UNDER FINRA Rule 9810 The Department of Enforcement, pursuant to FINRA Code of Procedure Rule 9810, hereby notifies Respondents, W R Rice Financial Services, Inc.

12/10/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. W R Rice Financial Services, Inc. (CRD No. 36700) and Joel I. Wilson (CRD No. 5334955), Respondents. Disciplinary Proceeding No. 2012030531101 Hearing Officer: MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 10, 2012 INTRODUCTION Disciplinary Proceeding No. 2012030531101 was filed on November 2, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)

11/02/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. W R Rice Financial Services, Inc. (CRD No. 36700), and Joel I. Wilson (CRD No. 5334955), Respondents. DISCIPLINARY PROCEEDING NO. 2012030531101 COMPLAINT AND REQUEST FOR EXPEDITED HEARING The Department of Enforcement alleges: SUMMARY 1. This case concerns securities fraud perpetrated by Respondent W R Rice Financial Services, Inc. ("WR Rice") and its owner, Respondent Joel I. Wilson ("Wilson"), in

Reference 2012030531101data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org