WILLIAM GERARD STAPLETON

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/31/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009020534801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: William O. Stapleton, Respondent Direct Participation Program Representative CRD No. 2174159 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, William G. Stapleton, ("Stapleton" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2009020534801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/02/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036761001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: William Gerard Stapleton Respondent CRD No. 5422225 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit 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
Reference 2013036761001finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	5422225

Other names1

Also known as1

WILLIAM G. STAPLETON

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