BILLY JOE LAWSON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/18/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006004809002 TO: Department of Enforcement NASD RE: Billy Joe Lawson, Respondent Investment Company and Variable Contracts Products Representative CRD No. 4440200 Pursuant to Rule 9216 of NASD Code of Procedure, I, Billy Joe Lawson, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD
Reference 2006004809002data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4440200 |
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