WILLIAM J GRAY

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/09/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008013503901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: William J. Gray, Respondent Registered Representative CRD No. 712791 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2008013503901finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	712791

Other names1

Also known as1

WILLIAM J. GRAY

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