WILLIAM D. MATTES SR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/23/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. WILLIAM D. MATTES, SR., Registered Representative (CRD No. 3251539) Mattes Disciplinary Proceeding No. 20060059367 Hearing Officer COMPLAINT The Department of Enforcement alleges: 1. William D. Mattes, Sr. ("Mattes") was registered as an Investment Company/Variable Contracts Products Representative with Chase Investment Services Corp. ("Member"), a member of NASD, between July 2005 and August 2006. Mattes is not currently
11/06/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILLIAM D. MATTES, Sr. (CRD No. 3251539), Respondent. Disciplinary Proceeding No. 2006005936701 Hearing Officer - LBB HEARING PANEL DECISION November 6, 2007 For conversion of customer funds in violation of Conduct Rule 2110, Respondent is barred in all capacities. Appearances: Dale A. Glanzman, Esq., and Kevin G. Kulling, Esq., for the Department of Enforcement. William D. Mattes, Sr., pro se
Reference 2006005936701data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3251539 |
Other names1
Also known as1
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