WESLEY A. KING

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/23/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100216600 To: Department of Enforcement Financial Industry Regulatory Authority (FINRA) Re: Wesley A. King Investment Company and Variable Contract Products Principal CRD No. 5268506 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Wesley A. King, 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 is
Reference 2010021660001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5268506

Other names1

Also known as1

WESLEY ALLEN KING

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.