WAYNE THOMAS HUMPHRIES is currently employed as a Broker and/or Investment Adviser at INTERNATIONAL MONEY MANAGEMENT GROUP, INC. located at 301 PIER ONE ROAD #201, SUITE 101, STEVENSVILLE, MD, 21666.
WAYNE THOMAS HUMPHRIES has worked at INTERNATIONAL MONEY MANAGEMENT GROUP, INC. since January 16, 1984
WAYNE THOMAS HUMPHRIES has 1 Disclosure Event(s).
Date: November 04, 1997 Category: Regulatory Initiated By: VIRGINIA - STATE CORPORATION COMMISSIONDIVISION OF SECURITIES Allegations: ASSET MANAGEMENT ADVISORS, INC., ANINVESTMENT ADVISOR REGISTERED IN VIRGINIA UNDER THE VIRGINIASECURITIES ACT, CONDUCTED BUSINESS AS AN UNREGISTEREDINVESTMENT ADVISOR IN VIOLATION OF SECTION 13.1-504 A (ii) OFTHE CODE OF VIRGINIA. ASSET MANAGEMENT ADVISORS, INC. ALSOEMPLOYED ERNEST ORLANDO BRITTINGHAM, JR. AND WAYNE THOMASHUMPHRIES AS UNREGISTERED INVESTMENT ADVISOR REPRESENTATIVES INVIOLATION OF SECTION 13.1-504 C OF THE CODE OF VIRGINIA. ERNESTORLANDO BRITTINGHAM, JR. AND WAYNE THOMAS HUMPHRIES, INVIOLATION OF SECTION 13.1-504 A (ii) OF THE CODE OF VIRGINIA,UNLAWFULLY TRANSACTED BUSINESS IN THE COMMONWEALTH ASUNREGISTERED INVESTMENT ADVISOR REPRESENTATIVES. Resolution: Decision & Order of Offer of Settlement SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $2,500.00 Sanction Details: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS,ASSET MANAGEMENT ADVISORS, INC. OFFERED AND AGREED TO REFRAINFROM TRANSACTING BUSINESS IN THE COMMONWEALTH AS ANUNREGISTERED INVESTMENT ADVISOR AND IT WILL NOT EMPLOY ANYUNREGISTERED INVESTMENT ADVISOR REPRESENTATIVES. ERNEST ORLANDOBRITTINGHAM, JR. AND WAYNE THOMAS HUMPHRIES OFFERED AND AGREEDTO NOT TRANSACT BUSINESS IN THE COMMONWEALTH AS UNREGISTEREDINVESTMENT ADVISOR REPRESENTATIVES. THEY ALSO AGREED TO PAY APENALTY IN THE AMOUNT OF $2,500 AND THE SUM OF $604 ASREIMBURSEMENT FOR THE COSTS OF THE DIVISION'S INVESTIGATION. Broker Comment: Not Provided
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