BENJAMIN T. WATTS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/07/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006247601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Benjamin T. Watts, Respondent Investment Company and Variable Contract Products Representative CRD No. 1102629 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I 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
Reference 2006006247601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1102629

Other names1

Also known as1

BENJAMIN THEODORE WATTS

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.