WILLIAM K. HARRISON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/27/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080157403 To: Department of Enforcement FINRA Re: William K. Harrison General Securities Representative CRD No. 4353102 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, William K. Harrison, submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted,
Reference 2008015740301finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4353102 |
Other names1
Also known as1
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