WILLIAM GREGORY SLONECKER

06/22/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILLIAM GREGORY SLONECKER, (CRD No. 3048481), Respondent. Disciplinary Proceeding No. 2007009442501 Hearing Officer - MC DEFAULT DECISION June 22, 2010 Respondent (i) recommended and executed unsuitable transactions for customers, in violation of Conduct Rules 2110 and 2310; (ii) caused his member firm employer to maintain inaccurate books and records, in violation of Conduct Rules 2110 and 3110;

01/29/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. William Gregory Slonecker (CRD No. 3048481), Respondent. DISCIPLINARY PROCEEDING No. 2007009442501 COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. Between March 2005 and June 2006 (the "relevant period"), William Gregory Slonecker ("Slonecker"), formerly employed at H&R Block Financial Services Inc. ("H&R Block" or the "Firm") holding a general securities license,

Reference 2007009442501finra.orgdata-portal.finra.orgdata-portal.finra.org