WILLIAM THOMAS KUPETS, JR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/13/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038962701 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA") RE: William Thomas Kupets, Jr. (CRD No. 2550128), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, William Thomas Kupets, Jr. ("Kupets" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent (“AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2013038962701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2550128 |
Other names1
Also known as1
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