William Nicholas Athas
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/18/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. William Nicholas Athas (CRD No. 3165470), Respondent. DISCIPLINARY PROCEEDING NO. 2018057883102 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From December 2014 through April 2020, Respondent William Nicholas Athas, while associated with K.C. Ward Financial (CRD No. 145135) and Worden Capital Management LLC (CRD No. 148366), churned and excessively traded nine accounts of seven different
02/07/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. William Nicholas Athas (CRD No. 3165470), Respondent. Disciplinary Proceeding No. 2018057883102 Hearing Officer—DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 7, 2022 INTRODUCTION Disciplinary Proceeding No. 2018057883102 was filed on January 18, 2022, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent William Nicholas Athas submitted an Offer
Reference 2018057883102data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3165470 |
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