HENRY HORACE GODBEE III

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/31/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E052004029501 Department of Enforcement NASD Alex L. Wittenburg, Respondent Investment Company and Variable Contracts Products Representative and General Securities Representative [CRD No. 4278127] and Rodney G. Graves, Respondent Investment Company and Variable Contracts Products Principal, Investment Company and Variable Contracts Products Representative, General Securities Principal
Reference E052004029501data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/08/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032300001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Henry Horace Godbee III, Respondent General Securities Representative CRD No. 2284452 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2012032300001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2284452

Other names2

Also known as2

HENRY H. GODBEE IIIHENRY HORACE GODBEE, III

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