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RESPONDENT WAS ALLEGED TO BE INVOLVED IN SECURITIES RELATED ACTIVITIES BECAUSE OF SOLICITATION OF CLIENT RELATIONSHIPS AT A TIME WHEN NOT PROPERLY REGISTERED WITH THE TEXAS COMMISSIONER.
Resolution
Consent
Sanctions
Cease and Desist/Injunction
Sanctions
RESPONDENT WAS ORDERED TO BRING REGISTRATION CURRENT AND TO CEASE AND DESIST FROM VIOLATING ANY PROVISION OF THE TEXAS SECURITIES ACT
Sanction Details
LINSCOMB & WILLIAMS WAS SUSPENDED FROM SOLICITING AND OPENING NEW ACCOUNTS FOR A 30 DAY PERIOD COMMENCING APRIL 14, 1994.
Broker Comment
ALL CONDITIONS WERE MET WITHIN 30 DAYS OF THE ORDER (4/19/1994) AND THE MATTER IS CLOSED.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
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Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.