William Henry Weisbrod

08/02/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065297001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Henry Weisbrod (Respondent) Former General Securities Representative CRD No. 812664 Pursuant to FINRA Rule 9216, Respondent William Henry Weisbrod submits 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, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2020065297001finra.orgdata-portal.finra.org

01/14/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005003485101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: William Henry Weisbrod, Respondent Registered Representative CRD No. 812664 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2005003485101data-portal.finra.orgfinra.org