WILLIAM JOSEPH JULIAN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/17/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. WILLIAM JOSEPH JULIAN (CRD No. 2797249), Respondent. Disciplinary Proceeding No. ELI20030464-01 Hearing Officer-RSH DEFAULT DECISION March 17, 2006 Respondent prepared a false account statement and presented it to a customer for the purpose of misleading her as to the value of her investments. Respondent thereby violated NASD Conduct Rule 2110 and for this violation is barred from associating with any NASD member in any capacity.
11/11/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILLIAM JOSEPH JULIAN (CRD No. 2797249), Respondent. Disciplinary Proceeding No. ELI2003046401 Hearing Officer COMPLAINT Upon information and belief, the Department of Enforcement ("Complainant") alleges as follows: JURISDICTION 1. Respondent William Joseph Julian ("Respondent") first became registered with NASD as a General Securities Representative on September 23, 1996, through an association with NASD member firm. He was
Reference ELI2003046401data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2797249 |
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