2019061887702 William James Novack CRD 1181334 AWC sl (2021-1619223602516).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019061887702
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: William James Novack (Respondent)
Former General Securities Representative (GSR):
CRD No. 1181334
Pursuant to FINRA Rule 9216, Respondent William James Novack 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