WILLIAM JOHN LIEBL
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/28/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v.WILLIAM JOHN LIEBL (CRD No. 5105157), Respondent. Disciplinary Proceeding No. 2009020393901 Hearing Officer-Andrew H. Perkins DEFAULT DECISION July 28, 2011 Respondent is barred from associating with any FINRA registered firm in any capacity for conversion of customer funds, in violation of NASD Conduct Rule 2110
04/11/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILLIAM JOHN LIEBL, CRD No. 5105157 Respondent Disciplinary Proceeding No. 2009020393901 Hearing Officer: ____ COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between October 2008 and September 2009, William J. Liebl misappropriated
Reference 2009020393901data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5105157 |
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