Defendant Name:
Charles W. Adams
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Charles W. Adams
First Document Date
31-Jan-2014
Initial Filing Format
Administrative Action
File Number
3-15713
Allegation Type
Broker Dealer
Affiliations
- Former: Vice President at No Specified Entity (December 2001—December 2011)
- Former: Registered Representative at Raymond James Financial Services, Inc. (September 1996—December 2011)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
- Bar from participating in any penny stock offering (of unspecified duration)
First Resolution Date
