WILLIAM TRAVIS WHITTEN is currently employed as a Broker and/or Investment Adviser at CAPFINANCIAL SECURITIES, LLC. located at 4208 SIX FORKS RD, SUITE 1700, RALEIGH, NC, 27609.
WILLIAM TRAVIS WHITTEN has worked at CAPFINANCIAL SECURITIES, LLC. since July 05, 2011
Disclosure History
WILLIAM TRAVIS WHITTEN has 1 Disclosure Event(s).
Date: December 28, 2007 Category: Regulatory Initiated By: FINRA Allegations: NASD RULES 2110, 2790, 3050 - WILLIAM T. WHITTEN PURCHASED SHARES IN INITIAL PUBLIC OFFERINGS IN HIS SECURITIES ACCOUNT AT A MEMBER FIRM WHEN HE WAS REGISTERED WITH ANOTHER FIRM. WHITTEN FAILED AND NEGLECTED TO PROVIDE WRITTEN NOTICE TO HIS EMPLOYER MEMBER FIRM OF HIS SECURITIES ACCOUNT MAINTAINED AT THE OTHER FIRM AND ALSO FAILED TO PROVIDE WRITTEN NOTICE TO THE FIRM THAT HELD HIS ACCOUNT OF HIS ASSOCIATION WITH ANOTHER MEMBER FIRM. Resolution: Acceptance, Waiver & Consent(AWC) SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) Regulator Statement: WITHOUT ADMITTING OR DENYING THE FINDINGS, WHITTEN CONSENTED TO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS; THEREFORE, HE IS FINED $5,000. FINES PAID ON JANUARY 16, 2008.
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