2017053182001 William M. Heiden CRD 2885156 OHO DM (2019-1564964383615).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. William Mark Heiden (CRD No. 2885156), Respondent. DISCIPLINARY PROCEEDING NO. 2017053182001 Hearing Officer-RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 5, 2019 INTRODUCTION Disciplinary Proceeding No. 2017053182001 was filed on January 17, 2019, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)