WILLIAM RAY HARRINGTON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/21/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006445701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: William Ray Harrington, Respondent CRD No. 2786686 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, William Ray Harrington 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,
Reference 2006006445701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2786686

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