WILLIAM B FRETZ JR

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12/17/2015: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. William B. Fretz, Jr. Souderton, PA, John P. Freeman Newtown, PA, and The Keystone Equities Group, LP Oaks, PA, Respondents. DECISION Complaint No. 2010024889501 Dated: December 17, 2015 Respondents William B. Fretz, Jr. and John P. Freeman engaged in business-related conduct that is inconsistent with just and equitable principles of trade, in violation of NASD Rule

08/05/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILLIAM B. FRETZ, JR. (CRD 1545760), JOHN P. FREEMAN (CRD 1651569), and THE KEYSTONE EQUITIES GROUP, LP (CRD 127529), Respondents. DISCIPLINARY PROCEEDING No. 2010024889501 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2008 through December 2010 (the relevant period), Respondents William B. Fretz, Jr. and John P. Freeman misused customer funds and

05/30/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILLIAM B. FRETZ, JR. (CRD No. 1545760), JOHN P. FREEMAN (CRD No. 1651569), and THE KEYSTONE EQUITIES GROUP, LP (CRD No. 127529), Respondents. DISCIPLINARY PROCEEDING No. 2010024889501 Hearing Officer-MC EXTENDED HEARING PANEL DECISION May 30, 2013 Respondents William B. Fretz, Jr. and John P. Freeman misused customer funds in violation of NASD Rules 2330(a) and 2110, and FINRA Rules 2150(a) and

Reference 2010024889501data-portal.finra.orgdata-portal.finra.orgfinra.orgdata-portal.finra.org