WILLIAM BRUCE SMITH

02/21/2014: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY ln the Matter of Department of Enforcement, Complainant, vs. William Bruce Smith Uxbridge, MA, Respondent. DECISION Complaint No. 2011029152401 Dated: February 21, 2014 Respondent converted customer funds and misrepresented and omitted material facts. Held, findings affirmed and sanctions modified. Appearances For the Complainant: Stuart P. Feldman, Esq. and Paul D. Taberner, Esq., Department of Enforcement, Financial Industry

03/28/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. William Bruce Smith (CRD No. 1335193), Respondent. DISCIPLINARY PROCEEDING No. 2011029152401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent William B. Smith misappropriated $100,000 from customer S.H. and then provided her with falsified documentation for years to conceal his actions. Through his acts, Smith violated NASD Conduct Rules 2330 and 2110, and FINRA Rule 2010.

Reference 2011029152401data-portal.finra.orgdata-portal.finra.orgfinra.org