ALEXANDER M WILLIAMS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/09/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. ALEXANDER M. WILLIAMS (CRD No. 3046599), Respondent. Disciplinary Proceeding No. E1020040687-01 Hearing Officer - RSH DEFAULT DECISION June 8, 2006 Respondent violated NASD Conduct Rules 2310 and 2110 by making excessive trades in customer accounts, Conduct Rule 2110 by misusing customer funds, and NASD Procedural Rule 8210 and Conduct Rule 2110 by failing to respond to NASD requests for information. For these violations, Respondent
01/10/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ALEXANDER M. WILLIAMS (CRD No. 3046599) Respondent. Disciplinary Proceeding No. E1020040687-01 Hearing Officer - COMPLAINT Upon information and belief, the Department of Enforcement alleges that: JURISDICTION 1. On or about August 4, 1998, Alexander M. Williams (hereinafter "Respondent") first became registered with NASD as a General Securities Representative ("GSR") through an association with a member firm. 2. Respondent was
Reference E102004068701data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3046599 |
Other names1
Also known as1
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