WESLEY M. HILES

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/29/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C9A050021 TO: Department of Enforcement NASD RE: Wesley M. Hiles, Respondent Investment Company and Variable Contracts Products Representative CRD No. 4368679 Pursuant to Rule 9216 of the NASD Code of Procedure, Wesley M. Hiles ("Hiles") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted,
Reference C9A050021data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4368679

Other names1

Also known as1

WESLEY MATTHEW HILES

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