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CHARLES W. WANNEN III

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

    12/22/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHARLES W. WANNEN, III, (CRD No. 2453110), Respondent. Disciplinary Proceeding No. ELI2004035403 Hearing Officer - SW ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 22, 2008 INTRODUCTION Disciplinary Proceeding No. ELI2G04035403 was filed on April 10, 2008, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") ("Complainant"). Respondent Charles W. Wannen,

    04/10/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY(FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. CHARLES W. WANNEN III, (CRD No. 2453110) RESPONDENT. Disciplinary Proceeding No. ELI2004035403 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between November 2002 through June 2003, Charles W. Wannen III ("Wannen"), while registered with member firm GunnAllen Financial, Inc. (BD No. 17609) ("GunnAllen"), as a General Securities Representative ("GSR"), engaged in a pattern of

    Reference ELI2004035403data-portal.finra.orgdata-portal.finra.orgfinra.org

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