WILLIAM EDWARD WAINESS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/18/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080145076 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: William Wainess, Respondent General Securities Representative CRD No. 870265 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent William Wainess ("Wainess" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2008014507601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	870265

Other names1

Also known as1

WILLIAM WAINESS

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