Roy Kevin Williams

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/05/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078783201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Roy Kevin Williams (Respondent) Former General Securities Representative Former General Securities Sales Supervisor Former Registered Options Principal CRD No. 843607 Pursuant to FINRA Rule 9216, Respondent Roy Kevin Williams 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, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2023078783201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	843607

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.