ASA WILLIAMS

07/23/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Century Pacific Securities, Inc. CRD No. 113698, Asa Williams CRD No. 2233649, and also known as CRD No. Respondents. DISCIPLINARY PROCEEDING NO.2008014271401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Century Pacific Securities, Inc. ("Century Pacific"), acting through Respondent Century Pacific Securities, Inc. ("Century Pacific"),

07/08/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement Complainant, v. Century Pacific Securities Inc. CRD No. 113698 Asa Williams CRD No. 2233649 and Shuming Chang CRD No. 2109185, Respondents. Disciplinary Proceeding No. 20080142714-01 Hearing Officer: SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 8, 2011 INTRODUCTION Disciplinary Proceeding No. 20080142714-01 was filed on July 23,2010, by the Department of Enforcement of the Financial Industry

Reference 2008014271401data-portal.finra.orgfinra.orgdata-portal.finra.org

05/17/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002812901 TO: Department of Enforcement NASD RE: Asa Williams, Respondent General Securities Principal CRD No. 2233649 Pursuant to Rule 9216 of NASD 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging

Reference 2005002812901data-portal.finra.orgfinra.org