Person
Screen this subjectWilliam Steven Cooke
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/30/2026: Cooke refused to appear for on-the-record testimony requested pursuant to FINRA Rule 8210. As a result, Cooke violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.
Reference 2024084458201finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2107758 |
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