WILLIAM CHARLTON MAYS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/04/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. William Charlton Mays (CRD No. 2693626), Respondent. DISCIPLINARY PROCEEDING No. 2013036238801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period of January 2011 to November 2011 (the "Relevant Period"), while registered with SWS Financial Services Inc. ("SWS Financial Services" or the "Firm"), William Charlton Mays ("Respondent") converted and misused at least
11/07/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILLIAM CHARLTON MAYS (CRD No. 2693626), Respondent. Disciplinary Proceeding No. 2013036238801 Hearing Officer-RLP DEFAULT DECISION November 7, 2014 Respondent is barred from associating with any FINRA member in any capacity for: converting customer funds in violation of FINRA Rules 2150(a) and 2010; failing to disclose an outside business activity in violation of FINRA Rules.
Reference 2013036238801data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2693626

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