WILLIAM THOMAS JOHNSON JR.

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/26/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO: Office of Fraud Detection and Market Intelligence Financial Industry Regulatory Authority ("FINRA") RE: William Thomas Johnson, Jr., Respondent CRD No. 189117 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, William Thomas Johnson, Jr. ("Johnson" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2011029514101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1189117

Other names1

Also known as1

WILLIAM THOMAS JOHNSON, JR

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