WILLIAM OSCAR HARDY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/04/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039881901 TO: Department of Enforcement Financial Industry Authority ("FINRA") RE: William Oscar Hardy, Respondent Former Registered Representative CRD No. 1444999 Pursuant to FINRA 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 2014039881901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1444999

Other names1

Also known as1

WILLIAM OSCAR HARDY, JR

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