WELLER ANDERSON & CO. LTD.
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/08/2007: LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003681201 TO: Department of Enforcement NASD RE: Weller Anderson & Co., Ltd., Respondent CRD No. 23736 Fenner Reese Weller, Jr. General Securities Principal CRD No. 830278 Pursuant to Rule 9216 of NASD Code of Procedure, Weller Anderson & Co., Ltd. and Fenner Reese Weller, Jr. ("Respondents," collectively) submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of
Reference 2006003681201data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/19/2007: NASD LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. ## 2005000455201 TO: Market Regulation Department NASD RE: Weller, Anderson & Co., Ltd., Respondent Broker-Dealer CRD No. 23736 Pursuant to Rule 9216 of NASD Code of Procedure, Weller, Anderson & Co., Ltd. ('WACC" 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
Reference 2005000455201data-portal.finra.orgfinra.org
Other names1
Also known as1
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