WILBERT K. ROBERTS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/15/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006198001 TO: Department of Enforcement NASD RE: Wilbert K. Roberts, Respondent Investment Company and Variable Contracts Products Principal, Investment Company and Variable Contracts Products Representative, and General Securities Representative [CRD No.1745199] Pursuant to Rule 9216 of the NASD Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2006006198001finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1745199

Other names1

Also known as1

WILBERT KNEELAND ROBERTS

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