DUNCAN-WILLIAMS INC.
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/08/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO, 20090181147-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Duncan-Wuliams, Inc., Respondent Broker-Dealer CRD No, 6950 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Duncan-Williams, Inc., (the "firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2009018114701data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130367624-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Duncan-Williams, Inc. ("DNWL"), Respondent Broker-Dealer CRD No. 6950 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Duncan-Williams, Inc. ("DNWL", the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the
Reference 2013036762401data-portal.finra.orgfinra.org
Other names1
Weak aliases1
Spellings the source flags as too generic to establish a match on their own.
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