CHARLES E. ATWELL

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/09/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. Charles E. Atwell, Investment Company and Variable Contracts Products Principal, Investment Company and Variable Contracts Products Representative, and Direct Participation Programs Representative [CRD No. 1208702] RESPONDENT. DISCIPLINARY PROCEEDING No. 2005001491701 COMPLAINT The Department of Enforcement alleges: 1. Charles E. Atwell entered the securities industry on March 14, 1984 as an
04/04/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. CHARLES E. ATWELL, (CRD No. 1208702), RESPONDENT. DISCIPLINARY PROCEEDING No. 2005001491701 Hearing Officer: AHP ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 4, 2008 INTRODUCTION Disciplinary Proceeding No. 2005001491701 was filed on August 9, 2007, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") or ("Complainant"). Respondent Charles E. Atwell submitted
Reference 2005001491701data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1208702

Other names1

Also known as1

CHARLES EDWARD ATWELL

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