William James Novack
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/24/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061887702 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William James Novack (Respondent) Former General Securities Representative (GSR): CRD No. 1181334 Pursuant to FINRA Rule 9216, Respondent William James Novack submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted
Reference 2019061887702data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1181334 |
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