PAMELA ANNE WOOTEN

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/27/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110296798-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Pamela A. Wooten, Respondent Broker-Dealer CRD No. 1313028 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Pamela A. Wooten ("Wooten," "Respondent" or "I") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2011029679801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/28/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110296795-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Pamela A. Wooten, Respondent Broker-Dealer CRD No. 1313028 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Pamela A. Wooten ("Wooten," "Respondent" or “I") submits this Letter of Acceptance, Waiver and Consent (“AWC") for the purpose of proposing a settlement of the
Reference 2011029679501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1313028

Other names1

Also known as1

Pamela A. Wooten

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