Marc William Evans (CRD #859585, Tulsa, Oklahoma)
was fined $10,000, suspended by FINRA for 13 months and ordered to pay $56,572, plus interest, in disgorgement of commission. The sanctions take into account the suspension and fine the Oklahoma Department of Securities imposed against Marc Evans.
Allegedly Evans participated in private securities transactions for selling compensation without his member firm’s prior written approval.
FINRA's findings stated that Evans falsely responded to a question inquiring about his participation in private securities transactions on his firm’s annual compliance questionnaires. FINRA's findings also stated that Evans did not disclose to his firm, in the appropriate form and manner required, of an outside business activity—specifically his membership on a corporation’s board of directors.
The suspension is in effect from December 15, 2014, through January 14, 2016. (FINRA Case #2013038421801)
Marc William Evans was registered in the securities industry for 36 years and is currently registered with the following securities firm(s):
WUNDERLICH SECURITIES, INC. (CRD# 2543)
2431E 61 STREET, SUITE 300, TULSA, OK 74136 Registered with this firm since 12/2012
Marc William Evans was previously registered with the following securities firm(s):
11/2005 - 12/2012 SANDERS MORRIS HARRIS INC. (CRD# 20580) - TULSA, OK
07/2003 - 11/2005 WACHOVIA SECURITIES, LLC (CRD# 19616) - ST. LOUIS, MO
07/1999 - 07/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD# 7471) - NEW YORK, NY
03/1998 - 07/1999 DAIN RAUSCHER INCORPORATED (CRD# 31194) - NEW YORK, NY
01/1998 - 03/1998 DAIN RAUSCHER INCORPORATED (CRD# 7600)
05/1994 - 01/1998 RAUSCHER PIERCE REFSNES, INC. (CRD# 6663) - DALLAS, TX
05/1990 - 05/1994 PRUDENTIAL SECURITIES INCORPORATED (CRD# 7471) - NEW YORK, NY
05/1980 - 05/1990 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD# 7059) - NEW YORK, NY
11/1978 - 06/1980 DEAN WITTER REYNOLDS INC. (CRD# 7556)
The previous information from FINRA's Website under "Disciplinary and Other Actions, January, 2015" ends here.
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