The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552.
William Cecil Babb III (CRD #1276193, Registered Representative, Cary, North Carolina)
was barred from association with any FINRA member in any capacity.
Without admitting or denying the findings, William Babb consented to the described sanction and to the entry of findings that he failed to respond to FINRA requests that he provide information and appear for testimony regarding allegations that he had solicited individuals to invest in a private entity without disclosing to, or obtaining approval from, his member firm.
(FINRA Case #2012033517201)
William Cecil Babb III was previously registered with FINRA at the following brokerage firms:
LINCOLN FINANCIAL ADVISORS CORPORATION
CRD# 3978
RALEIGH, NC
06/1998 - 07/2012
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
CRD# 2580
FORT WAYNE, IN
10/1999 - 05/2006
CIGNA FINANCIAL ADVISORS,INC.
CRD# 145
RADNOR, PA
08/1984 - 06/1998
This ends the information obtained on FINRA's website.
Soreide Law Group offers a free consultation and portfolio analysis to determine if you have legal grounds to pursue a FINRA arbitration. To speak with a lawyer call (888) 760-6552.
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