William Lawrence Groeneveld

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/05/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061652401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William Lawrence Groeneveld (Respondent) Former General Securities Principal CRD No. 2127534 Pursuant to FINRA Rule 9216, Respondent William Lawrence Groeneveld 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 2019061652401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2127534

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