William Eric Rice
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/19/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. William Eric Rice (CRD No. 2255148), Respondent. DISCIPLINARY PROCEEDING No. 2015043295202 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent William Eric Rice willfully failed to timely disclose both a felony charge and felony guilty plea for driving under the influence ("DUI") on his Uniform Application for Securities Industry Registration ("Form U4"). This conduct
08/16/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILLIAM ERIC RICE (CRD No. 2255148), Respondent. Disciplinary Proceeding No. 2015043295202 Hearing Officer CC DEFAULT DECISION August 16, 2016 Respondent willfully failed to timely update his Form U4 to disclose material information-a felony charge and a felony conviction-and falsely attested on the firm's annual compliance questionnaire to the accuracy of his Form U4
Reference 2015043295202data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2255148 |
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