JOSEPH DEYERLE JOLLY is currently employed as a Broker and/or Investment Adviser at JOE JOLLY & CO., INC. located at 2350 WACHOVIA TOWER, 420 NO 20TH ST, BIRMINGHAM, AL, 35203.
JOSEPH DEYERLE JOLLY has worked at JOE JOLLY & CO., INC. since May 24, 1976
Disclosure History
JOSEPH DEYERLE JOLLY has 5 Disclosure Event(s).
Date: August 20, 2002 Category: Regulatory
Date: May 18, 1999 Category: Regulatory
Date: February 24, 1986 Category: Regulatory
Date: January 31, 1984 Category: Regulatory Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Allegations: SUMMARY COMPLAINT FILED 1/31/84,ALLEGING VIOLATIONS OF ARTICLE 111, SECTION 1 OF THE RULES OF FAIR PRACTICE AND SEC RULE 17A-5 IN THAT A MEMBER FIRM, ACTING THRU JOLLY, FAILED TO FILE FOCUS PART 1 REPORTS WITHIN TEN BUSINESS DAYS. Resolution: Decision SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $100.00 Sanction Details: SUMMARY COMPLAINT ACCEPTED 2/9/84, WHEREIN JOLLY IS FINED $100. IF NO FURTHER ACTION,DECISION IS FINAL 3/24/84.
Date: August 21, 1979 Category: Regulatory
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