TRAVIS DONALD WAKELEY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/04/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005001267501 TO: Department of Enforcement NASD RE: Travis Donald Wakeley, Respondent General Securities Representative CRD No. 1305673 Pursuant to Rule 9216 of NASD Code of Procedure, Travis Donald Wakeley (Respondent) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part U below. This AWC is
Reference 2005001267501data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1305643 |
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