A.B. WATLEY DIRECT INC.

Regulator action

United States. Named in 4 sanctions listings.

Sanctions and listings4

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/07/2010: FINRA OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. A. B. Watley Direct, Inc., CRD No. 18663, Respondent. Disciplinary Proceeding No.2005003391301 Hearing Officer - LBB ORDER ACCEPTING OFFER OF SETTLEMENT JANUARY 7,2010 INTRODUCTION Disciplinary Proceeding No. 2005003391301 was filed on March 26, 2009 by the Department of Enforcement of the Financial Industry Regulatory Authority
Reference 2005003391301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/10/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021157902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: A.B. Watley Direct, Inc. (BD No. 18663) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, A.B. Watley Direct, Inc. ("ABW Direct" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC
Reference 2010021157902data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/16/2010: FINRA OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. A.B. WATLEY DIRECT, INC, (BD No. 18663), ROBERT FRANKLYN MALIN (CRD No. 1178312), and LINUS NWAIGWE (CRD No. 2613032), Respondents. Disciplinary Proceeding No. 2005001121401 Hearing Officer - RH ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 16,2010 INTRODUCTION Disciplinary Proceeding No. 2005001121401 was filed on April 29,2009, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)
Reference 2005001121401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/03/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20070090221-02 To: Department of Market Regulation NASD RE: A.B. Watley Direct, Inc., Respondent Broker-Dealer CRD No. 18663 Pursuant to Rule 9216 of the NASD Code of Procedure, A.B. Watley Direct, Inc. ("the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of
Reference 2007009022102data-portal.finra.org finra.org

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