David Wesley Wells
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/24/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160526226-02 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Wesley Wells, Respondent CRD No. 3252656 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, David Wesley Wells, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition
Reference 2016052622602finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3252656 |
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