Person
Screen this subjectWilliam Slattery
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/27/2025: On February 27, 2024, while associated with J.P. Morgan, Slattery cheated on the North American Securities Administrators Association Series 66 Uniform Combined State Law Exam. As a result, Slattery violated FINRA Rule 2010 and is barred from associating with any FINRA member in all capacities.
Reference 2024083148501data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 7739278 |
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