William David Nelson

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/01/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20170528652-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: William David Nelson, Respondent General Securities Representative CRD No. 2734324 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, William David Nelson, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2017052865201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/09/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040348001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: William David Nelson, Respondent Registered Representative CRD No. 2734324 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, William Nelson ("Nelson" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2014040348001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2734324

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