THE WILLIAMS FINANCIAL GROUP
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/23/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050001884-01 TO: Department of Market Regulation NASD RE: The (Wilson) Williams Financial Group, Respondent CRD No. 22704 Pursuant to Rule 9216 of the NASD Code of Procedure, The (Wilson) Williams Financial Group ("WMBU" or the "firm"), submits 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
Reference 2005000188401data-portal.finra.orgfinra.org
Other names1
Also known as1
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