EDWARD EUGENE WILLIAMS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/31/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. EDWARD EUGENE WILLIAMS (CRD No. 2184339), Respondent. Disciplinary Proceeding No. 20110285475 Hearing Officer - RLP DEFAULT DECISION January 31, 2013 For misappropriating his customers' funds, in violation of FINRA Rules 2150 and 2010 and NASD Rules 2330(a) and 2110, and for forging his customers' signatures, in violation
09/05/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Edward Eugene Williams, CRD No. 2184339 Respondent DISCIPLINARY PROCEEDING No. 20110285475 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period December 2008 through March 2010, Edward Eugene Williams, a registered representative with Princor Financial Services Corp., misappropriated approximately
Reference 2011028547502data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2184339 |
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