FREDERICK MORTON WOOLLEY is currently employed as a Broker and/or Investment Adviser at WESTERN INTERNATIONAL SECURITIES, INC. located at 300 E. State St., Ste. 218, Redlands, CA, 92373.
FREDERICK MORTON WOOLLEY has worked at WESTERN INTERNATIONAL SECURITIES, INC. since August 21, 2017
Disclosure History
FREDERICK MORTON WOOLLEY has 4 Disclosure Event(s).
Date: July 16, 1998 Category: Regulatory Initiated By: CA Allegations: SUSPENSION FROM ANY POSITION OF EMPLOYMENT,MANAGEMENT OR CONTROL OF BROKER-DEALER OR INVESTMENT ADVISERFOR A PERIOD OF SIX (6) MONTHS TO COMMENCE 5/19/97 AND END ON11/19/97. Resolution: Decision SanctionDetails: Sanctions: Suspension Sanction Details: SUSPENSION Broker Comment: THE ALLEGATIONS ARE DENIED BY WOOLLEY. IN NO WAYDID HE SIGN MANAGERS NAME WITHOUT AUTHORIZATION. MANAGER JAMEST RINER LIED TO NASD DISTRICT COMMITTEE #2. WOOLLEY CONSENTEDTO FINDINGS IN ORDER TO AVOID FURTHER FINANCIAL LOST AND LEGALEXPENSE. HIS DECISIONS WERE BASED ON PURELY FINANCIALDECISIONS.
Date: November 12, 1996 Category: Regulatory
Date: May 12, 1995 Category: Employment Separation After Allegations Firm Name: TITAN VALUE EQUITIES Termination Type: Discharged Allegations: E02950786ALLEGATIONS OF SIGNING CLIENTS AND MANAGERSNAMES WITHOUT AUTHORIZATION TERMINATED BY TITAN VALUE EQUITIES FOR CAUSE ON 5/12/95 Broker Comment: COMPLAINT FILED BY NASD DBCC DISTRICT 2ADMINISTRATIVE COMPLAINT. ALLEGATIONS OF SIGNING MANAGERS NAME ON SIX SEPARATE DOCUMENTS WITHOUT AUTHORIZATION VIOLATED RULE 2110. COMPLAINT C02960040. OFFER SETTLEMENT SIGNED NOT ADMITTANCE OF GUILT OR FAILURE TO HAVE AUTHORIZATION SETTLEMENT REQUIRES CENSURE, FINED $30,000 AND SUSPENDED FOR SIX MONTHS FROM ASSOC WITH NASD REQUIRED ALSO TO RETAKE THE EXAMS, SERIES 7. ALLEGATIONS OF SIGNING CLIENTS NAMES WITHOUT AUTHORIZATION IS INCORRECT. NASD CLEARED ME OF THIS ALLEGATION. BRANCH MANAGER SIGNATURE WERE REVIEWED WITH MANAGER.
Date: February 02, 1995 Category: Regulatory
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