WILLIAM FORREST WINCHESTER, III
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/06/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065993801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: William F. Winchester III (Respondent) Former General Securities Representative CRD No. 4404327 Pursuant to FINRA Rule 9216, Respondent William F. Winchester III submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC
Reference 2020065993801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4404327 |
Other names1
Also known as1
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