CHARLES LEE WILLIAMS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/17/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. CHARLES LEE WILLIAMS (CRD No. 4767254), Respondent. Disciplinary Proceeding No.C3A050011 Hearing Officer -SNB DEFAULT DECISION August 17, 2005 Respondent is barred from associating with any NASD member In any capacity for filing false and misleading information on his Form U-4, in violation of NASD Conduct Rule 2110 and IM-1000-1, and for his failure to provide requested information, in violation of NASD Procedural Rule 8210
Reference C3A050011data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4767254 |
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