Walter Wynne Lawrence is currently employed as a Broker and/or Investment Adviser at EDWARD JONES located at 1601 NORTH 18TH STREET, MONROE, LA, 71201.
Walter Wynne Lawrence has worked at EDWARD JONES since May 30, 2013
Disclosure History
Walter Wynne Lawrence has 1 Disclosure Event(s).
Date: May 01, 2007 Category: Regulatory Initiated By: LOUISIANA BOARD OF ETHICS Allegations: THE ALLEGATION WAS THAT THERE WAS A VIOLATION OF SECTION 55D OF THE (LOUISIANA) LOBBYIST DISCLOSURE ACT, WHICH, ACCORDING TO THE LA. BOARD OF ETHICS, MANDATES THAT EXPENDITURE REPORTS CONTAIN THE TOTAL OF ALL (LOBBYIST) EXPENDITURES DURING EACH REPORTING PERIOD, AND, THAT THE EXPENDITURE REPORT SUBMITTED ON 8/15/2006 DID NOT CONTAIN THE TOTAL AMOUNT OF EXPENDITURES MADE DURING THE REPORTING PERIOD (THE SIX MONTH PERIOD ENDING JUNE,31 (SIC), 2006). Resolution: Acceptance, Waiver & Consent(AWC) Sanctions: THE BOARD IMPOSED A FINE OF $300 WHICH WAS SUSPENDED, CONTINGENT UPON FUTURE COMPLIANCE WITH THE DISCLOSURE ACT. THERE WERE NO ADDITIONAL ACTIONS. Broker Comment: I AM UNSURE ABOUT HOW TO ANSWER QUESTION 12 AND 12B. THE ORDER WAS FINAL RELATIVE TO REGULATIONS DEALING WITH COMPLETE REPORTING. I AM UNSURE ABOUT THE LEGAL TERMINOLOGY IN 12B ALTHOUGH IT AND ALL QUESTIONS ARE ANWERED TO THE BEST OF MY KNOWLEDGE. IN TWELVE (12) YEARS OF REPORTING LOBBYIST EXPENDITURES, THIS 2006 INCIDENT IS THE FIRST AND ONLY FINDING OF ANY KIND. DUE TO MY RETIREMENT FROM MY PREVIOUS EMPLOYER, I RECENTLY VOLUNTARILY TERMINATED MY STATUS AS A REGISTERED LOBBYIST. ALTHOUGH I TAKE FULL RESPONSIBILITY FOR IT, THIS FINDING WAS DUE TO A CLERICAL ERROR. THERE WAS NEVER ANY ATTEMPT TO SUBMIT ANYTHING BUT A TRUE AND ACCURATE REPORT.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for Walter Wynne Lawrence, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.