Wesley James Evans
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/02/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066576201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Wesley James Evans Respondent Former Registered Representative CRD No. 6617516 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Wesley James Evans (Evans) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020066576201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6617516 |
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