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CHARLES B. WOLD

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/20/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010025262301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Charles B. Wold, Respondent Registered Representative CRD No. 1710944 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Charles Wold ("Respondent" or "Wold") 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 2010025262301data-portal.finra.orgfinra.org

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