CHARLES M. DOBBINS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/20/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2010022997701 To: Department of Enforcement FINRA Re: Charles M. Dobbins General Securities Representative CRD No. 2202019 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure. I, Charles M. Dobbins, submit this Letter of Acceptance. Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2010022997701data-portal.finra.orgfinra.org
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