PAUL WESCOE SMITH
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/07/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053266401 TO: Department of Enforcement Financial Industry Regulatoiy Authority ("FINRA") RE: Paul Wescoe Smith, Respondent CRD No. 1070735 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Paul Wescoe Smith ("Smith"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the
Reference 2017053266401finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1070735 |
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