WILLIAM Joseph FOURNIER

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/14/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075185701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William J. Fournier (Respondent) Former Non-Registered Fingerprint Person CRD No. 7461696 Pursuant to FINRA Rule 9216, Respondent William J. Fournier submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2022075185701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	7461696

Other names1

Also known as1

William J. Fournier

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