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Tuesday, February 10, 2015 8:58:22 AM
https://www.sec.gov/litigation/suspensions/2009/34-60410.pdf
http://www.marketwired.com/press-release/gulf-ethanol-welcomes-robert-wilson-to-board-of-directors-862305.htm
Robert Wilson and FINRA: http://www.finra.org/Industry/Regulation/Notices/1996/P004935
Harris Webb & Garrison, Inc. (Houston, Texas) and Robert J. Wilson (Registered Principal, Sugar Land, Texas) submitted a Letter of Acceptance, Waiver and Consent pursuant to which they were fined $10,000, jointly and severally. The firm also must hire a full-time financial and operations principal and Wilson must requalify by examination as a financial and operations principal. Without admitting or denying the allegations, the respondents consented to the described sanctions and to the entry of findings that the firm, acting through Wilson, failed to comply with the (k)(2)(ii) exemption under Rule 15c3-3 under the Securities and Exchange Act of 1934, as amended. The findings also stated that the firm, acting through Wilson, engaged in a securities business while failing to maintain its minimum required net capital.
An Oklahoma Bar: http://tx.findacase.com/research/wfrmDocViewer.aspx/xq/fac.19950320_0000033.SCT.htm/qx
D-1521 IN THE MATTER OF DISBARRMENT OF ROBERT J. WILSON
It is ordered that Robert J. Wilson, of Ardmore, Oklahoma, be suspended from the practice of law in this Court and that a rule issue, returnable within forty days, requiring him to show cause why he should not be disbarred from the practice of law in this Court.
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