WILLIAM R. BARTO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/27/2008: FINRA OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. WILLIAM R. BARTO (CRD No. 1077607), RESPONDENT. DISCIPLINARY PROCEEDING No. 20060043524 HEARING OFFICER: SHARON WITHERSPOON ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 27, 2008 INTRODUCTION Disciplinary Proceeding No. 20060043524 was filed on September 5, 2008, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA"). Respondent William R. Barto submitted an Offer of Settlement
Reference 2006004352401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1077607

Other names1

Also known as1

WILLIAM ROSS BARTO

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