WM FINANCIAL SERVICES INC.

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/16/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080130574 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: WaMu Investments, Inc., Respondent Member Firm BD No. 599 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Respondent submits 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 that, if
Reference 2008013057401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/15/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015078603 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Chase Investment Services Corp., Respondent Broker-Dealer No. 25574 Chase Investment Services Corp., Respondent BD No. 25574, as successor to WaMu Investments, Inc., BD No. 599 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Chase Investment Services Corp.
Reference 2008015078603data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/02/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 2004200011001 TO: Department of Market Regulation NASD RE: WM Financial Services, Inc., Respondent Broker-Dealer CRD No. 599 Pursuant to Rule 9216 of the NASD Code of Procedure, WM Financial Services, Inc. ("MRPH" or the "firm'') submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not
Reference 2004200011001finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002244201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: WM Financial Services, Inc. (n/k/a WaMu Investments, Inc.) CRD # 599 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, WM Financial Services, Inc. ("WMFS" or "the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2005002244201data-portal.finra.org finra.org

Other names1

Also known as1

WAMU INVESTMENTS INC.

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