JASON SCOTT WILLIAMS

JASON SCOTT WILLIAMS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 33 LONO AVE., SUITE 400, KAHULUI, HI, 96732.

JASON SCOTT WILLIAMS has worked at LPL FINANCIAL LLC since October 02, 2006

Disclosure History

JASON SCOTT WILLIAMS has 1 Disclosure Event(s).

Date: December 24, 2007
Category: Regulatory
Initiated By: HAWAII
Allegations: FAILURE TO DISCLOSE MATERIAL INFORMATION IN CONNECTION WITH THE OFFER, SALE OR PURCHASE OF SECURITIES BY OMITTING TO INFORM CLIENTS THAT THE SECURITIES PRODUCTS WERE OFFERED THROUGH LPL AND WERE NOT BANK PRODUCTS AND THEREFORE NOT FDIC INSURED.
Resolution: Consent SanctionDetails:
Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails:
Amount: $10,000.00
Broker Comment: ENTERED INTO A CONSENT AGREEMENT WITH LPL, CENTRAL PACIFIC BANK DBA CENTRAL PACIFIC INVESTMENT SERVICES, AND JASON SCOTT WILLIAMS; ADMINISTRATIVE PENALTY OF $10,000 WAS ASSESSED AND PAID.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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