WILLIAM D. BRUSSEAU

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/10/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015672601 TO: Departrnent of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: William P. Brusseau, Respondent Direct Participation Programs Representative CRD No. 4867722 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, William D. Brusseau, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2008015672601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4867722

Other names1

Also known as1

WILLIAM DAVID BRUSSEAU

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