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The (Wilson) Williams Financial Group, Inc.

The (Wilson) Williams Financial Group, Inc. (CRD #22704, Dallas, Texas) received a censure and fine of $17,500. Additionally, the firm was required to revise its written supervisory procedures concerning OATS. According to the findings, the firm failed to submit required information to OATS. The regulators also found that the firm's supervisory system did not provide for supervision reasonably designed to achieve compliance with applicable securities laws, regulations, and NASD rules concerning OATS. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #CMS020220)

Did The (Wilson) Williams Financial Group, Inc. manage your investments?



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