WILLIS SCUDDER GEORGIA III
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/20/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILLIS SCUDDER GEORGIA III (CRD No. 2374955), Respondent. Disciplinary Proceeding No. 2008014358201 DEFAULT DECISION Hearing Officer - Sara Nelson Bloom November 20, 2009 For misappropriation of funds, in violation of Rule 2110, and for failure to appear for testimony, in violation of Rules 8210 and 2010, Respondent is barred from associating with any FINRA member in any capacity.
07/08/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. WILLIS SCUDDER GEORGIA III (CRD No. 2374955), RESPONDENT. Disciplinary Proceeding No. 2008014358201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 11, 2006 to June 29, 2006, while a registered representative of a FINRA member firm, Willis Scudder Georgia III (Georgia) misappropriated $7,500 from a non-profit charitable organization (Charity).
Reference 2008014358201data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2374955 |
Other names1
Also known as1
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