WILLIAM HOWARD IRVING
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/16/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. WILLIAM HOWARD IRVING (CRD No. 1541064) Respondent. Disciplinary Proceeding No. 20090178566-01 Hearing Officer - MAD DEFAULT DECISION February 16, 2011 For failing to satisfy an arbitration award, in violation of Conduct Rules 2110 and 2010, and IM-10100 of FINRA's Code of Arbitration Procedure, Respondent is fined $10,000 and suspended from associating with any member firm in any capacity (1) until
Reference 2009017856601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1541064 |
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