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FINRA Disciplinary Actions Online
Displaying 1 - 2 of 2
| Case ID | Case Summary | Document Type | Firms/ Individuals | Action Date Sort ascending |
|---|---|---|---|---|
| 2016048837401 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILSON-DAVIS & CO., INC. (CRD No. 3777), JAMES C. SNOW, JR. (CRD No. 2761102), LYLE WESLEY DAVIS (CRD No. 62352), BYRON BERT BARKLEY (CRD No. 12469), and CRAIG STANTON NORTON (CRD No. 349405), Respondents. Disciplinary Proceeding No.2016048837401 Hearing Officer- DRS ORDER ACCEPTING OFFER OF SETTLEMENT | Orders Accepting Offers of Settlement | Wilson-Davis & Co. James C. Snow, Jr., Lyle Wesley Davis, Byron Bert Barkley, Craig Stanton Norton |
07/16/2021 |
| 2016048837401 | FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. WILSON-DAVIS & CO., INC. (CRD No. 3777), JAMES C. SNOW, JR. (CRD No. 2761102), LYLE WESLEY DAVIS (CRD No. 62352), BYRON BERT BARKLEY (CRD No. 12469), and CRAIG STANTON NORTON (CRD No. 349405), Respondents. DISCIPLINARY PROCEEDING NO. 2016048837401 COMPLAINT The Department of Enforcement alleges as follows: SUMMARY 1. From late February 2015 through June 2015, Wilson-Davis & Co., Inc. | Complaints | WILSON-DAVIS & CO. JAMES C. SNOW, JR., LYLE WESLEY DAVIS, BYRON BERT BARKLEY, CRAIG STANTON NORTON |
07/19/2019 |