WILLIAM ANTHONY SHRINER

10/13/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. William Shriner, Registered Representative (CRD No. 3212618)Respondent Disciplinary Proceeding No. E8A2004073701 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Between approximately November 2002 and July 2004, William Shriner ("Respondent") was registered as an Investment Representative with PFIC Securities Corp. ("Member"), a member of NASD. Respondent is therefore subject to the

05/15/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILLIAM SHRINER CRD No. 3212618), Respondent. Disciplinary Proceeding No. E8A200407370 Hearing Officer - SW DEFAULT DECISION May 15, 2006 Respondent converted his customer's funds to his own use and benefit, in violation of NASD Conduct Rules 2330(a) and 2110, and failed to respond to requests for information, in violation of NASD Conduct Rule 2110 and NASD

Reference E8A2004073701data-portal.finra.orgdata-portal.finra.orgfinra.org