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WM Financial Services, Inc.

WM Financial Services, Inc. (CRD #599, Irvine, California) received a censure and fine of $12,500. According to the findings, the firm failed to disclose customer complaints and settlements on the Forms U-4 and/or Forms U-5 of registered representatives as required. Additionally, the findings stated that the firm failed to establish, maintain, and enforce adequate written procedures to ensure that the firm made required disclosures on Forms U-4 and U-5 concerning customer complaints and settlements. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C02020036)

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