LEE W WALLER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/04/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. LEE W. WALLER (CRD NO. 6124796) RESPONDENT. DISCIPLINARY PROCEEDING No. 2013038196601 HEARING OFFICER- ___ COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In May and June 2013, Lee W. Waller (''Waller"), a sovereign fixed income trader with Goldman, Sachs & Co.'s ("GS") foreign affiliate Goldman Sachs International ("GSI"), falsely represented to GSI that prices
05/04/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. LEE W. WALLER (CRD No. 6124796), Respondent. Disciplinary Proceeding No. 2013038196601 Hearing Officer - KBW DEFAULT DECISION May 4, 2015 Respondent violated FINRA Rule 2010 by misleading, and causing others to mislead, his firm regarding two securities in his trading book. For this conduct, Respondent is barred from associating with a member firm in any capacity.
Reference 2013038196601data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6124796

Other names1

Also known as1

LEE W. WALLER

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