WILLIAM F. BRAHE JR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/19/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. WILLIAM F. BRAHE, JR. (CRD No. 3195240), Respondent. Disciplinary Proceeding No. 2008014231001 Hearing Officer - MC DEFAULT DECISION February 19, 2010 Respondent is barred from associating with any FINRA member firm in any capacity for converting customer funds in violation of Conduct Rule 2110. Appearances Gary A. Chodosh, Senior Regional Counsel, for the Department of Enforcement.
09/15/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. WILLIAM F. BRAHE, JR. (CRD No. 3195240) RESPONDENT. DISCIPLINARY PROCEEDING No. 2008014231001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. While registered with FINRA through a FINRA regulated broker-dealer and acting as a manager at a bank affiliate of that broker-dealer, Respondent William F. Brahe, Jr. ("Brahe") converted over $1 million in customer deposits for
Reference 2008014231001data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3195240 |
Other names2
Also known as2
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