JOHN CARL WILS

07/15/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. John Carl Wils, Registered Representative (CRD No.) 2786354 Respondent Disciplinary Proceeding No. 2006005281301 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: SUMMARY 1. From approximately October 1, 2004 to November 2, 2005, John Carl Wils ("Wils" or "Respondent") obtained in excess of $13,000 from more than 15 customers for investments and insurance

12/04/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN CARL WILS (CRD No. 2786354), Respondent. Disciplinary Proceeding No. 2006005281301 Hearing Officer - AWH DEFAULT DECISION December 4, 2008 Respondent is barred from associating with any FINRA member in any capacity for improper use of customer funds, in violation of NASD Conduct Rules 2330 and 2110, and failing to respond to requests for information, in violation of NASD Rules 8210 and 2110.

Reference 2006005281301data-portal.finra.orgdata-portal.finra.orgfinra.org