Proceeding Number 2011029152401

Hearing Panel Decision in Department of Enforcement v. William B. Smith

February 19, 2013

Respondent William Bruce Smith converted a customer’s funds, in violation of NASD Conduct Rules 2330 and 2110, and misrepresented and omitted material facts, in violation of NASD Rule 2110 and FINRA Rule 2010. For this misconduct, the Hearing Panel bars Respondent from associating in any capacity with any FINRA member firm, and orders him to pay restitution.

 

This decision has been appealed.

View Decision (PDF 69 KB)