ARTHUR W. COMPANY INC.

04/25/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Wood (Arthur W.) Company, Inc. (BD 3798) Respondent DISCIPLINARY PROCEEDING No. 2011025444501 COMPLAINT The Department of Enforcement (''Enforcement") alleges: SUMMARY 1. Between June 2008 and September 2011, Respondent Wood (Arthur W.) Company, Inc. ("WCI" or the "Firm") failed to implement its anti-money laundering ("AML") procedures. The Firm failed to detect and investigate red flags indicative

10/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WOOD (ARTHUR W.) COMPANY, INC. (CRD No. 3798) Disciplinary Proceeding No. 2011025444501 Hearing Officer-DRS HEARING PANEL DECISION October 29, 2015 Member firm (1) failed to implement and enforce its anti-money laundering program, (2) failed to conduct adequate independent anti-money laundering tests, (3) charged unreasonable and unfair commissions on equity transactions, (4) failed to establish,

03/15/2017: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Wood (Arthur W.) Company, Inc., Respondent. DECISION Complaint No. 2011025444501 Dated: March 15, 2017 Member firm failed to implement and enforce its AML procedures; failed to conduct adequate independent AML tests; charged excessive commissions; failed to supervise commissions; conducted a securities business while net capital deficient; failed to file a notice of

Reference 2011025444501data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org