DAVID WOODS UNSWORTH JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/28/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David Woods Unsworth, Jr. (CRD No. 1609040), Respondent. Disciplinary Procceding No. 2012032370501 Hearing Officer: 2012032370501 ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 28, 2015 INTRODUCTION Disciplinary Proceeding No. 2012032370501 was filed on August 27, 2014, by the Department of Enforcement of the Financial industry Regulatory Authority (FINRA) (Complainant).
08/27/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David Woods Unsworth, Jr. (CRD No. 1609040), Respondent. DISCIPLINARY PROCEEDING NO. 20120323705 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During a four year period, April 2008 through April 2012, David Woods Unsworth, Jr. ("Unsworth"), while Chairman, Chief Executive Officer ("CEO"), and majority owner of
Reference 2012032370501data-portal.finra.orgdata-portal.finra.orgfinra.org
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