WILLIAM HEATH HAWK is currently employed as a Broker and/or Investment Adviser at FSAM LLC located at 1720 WINDWARD CONCOURSE, SUITE 115, ALPHARETTA, GA, 30005.
WILLIAM HEATH HAWK has worked at FSAM LLC since December 22, 2016
WILLIAM HEATH HAWK is also currently employed as a Broker and/or Investment Adviser at FIRST SOUTHERN, LLC located at 1720 WINDWARD CONCOURSE, SUITE 115, Alpharetta, GA, 30005|8 CALLE#1, STE 401, GUAYNABO, PR, 00968-1772|1720 WINDWARD CONCOURSE, SUITE 115, Alpharetta, GA, 30005|8 CALLE#1, STE 401, GUAYNABO, PR, 00968-1772 since January 01, 1970
WILLIAM HEATH HAWK is also currently employed as a Broker and/or Investment Adviser at FIRST SOUTHERN SECURITIES, LLC. located at 8 CALLE#1, STE 401, GUAYNABO, PR, 00968-1772|1720 WINDWARD CONCOURSE, SUITE 115, ALPHARETTA, GA, 30005 since January 01, 1970
Disclosure History
WILLIAM HEATH HAWK has 1 Disclosure Event(s).
Date: July 29, 1998 Category: Regulatory Initiated By: AL Allegations: ON 04/03/98, THE COMMISSION RECEIVED ANAPPLICATION FOR REGISTRATION AS A DEALER ON BEHALF OF TEJASSECURITIES GROUP, INC., WITH A STATEMENT THAT THERE WERE NOPRIOR SALES IN ALABAMA. TEJAS SUBSEQUENTLY ADVISED THECOMMISSION THAT DUE TO AN ERROR, THERE WERE 2 ACCOUNTS WHEREINA TOTAL OF 6 TRANSACTIONS WERE EFFECTED BY THEIR AGENT WILLIAMHEATH HAWK. INFORMATION FROM TEJAS'S CLEARING FIRM DISCLOSEDTHAT IN ADDITION TO THE 2 ACCOUNTS REPORTED BY TEJAS, THERE ARE2 ADDITIONAL ACCOUNTS, AND A REVIEW OF TRANSACTION REPORTSREFLECTS THAT DURING THE PERIOD 04/20/98 TO 06/08/98 A TOTAL OF11 TRANSACTIONS WERE EFFECTED IN THE 4 ACCOUNTS. BASED UPONVIOLATIONS OF SECTIONS 8-6-3(a) and 8-6-3(j)(1), CODE OFALABAMA 1975, FOR EFFECTING A TRANSACTION PRIOR TO REGISTATIONAND FOR FILING APPLICATION CONTAINING A FALSE STATEMENT, ON07/29/98 A CEASE AND DESIST ORDER WAS ISSUED TO TEJAS AND HAWK. Resolution: Order SanctionDetails: Sanctions: Cease and Desist/Injunction Sanction Details: SAME AS ALLEGATIONS Broker Comment: CEASE AND DESIST WAS FOLLOWED AND TEJAS SECURITIES GROUP, INC. AND HEATH HAWK BOTH BECAME PROPERLY REGISTERED IN ALABAMA ON 03/1999.
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