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The Investor’s Watchdog

The Investor's Watchdog
Wednesday, April 18, 2018 Former Huntington, NY Broker Consents to Bar from FINRA Member Firms Resolving Allegations of Excessive Trading and Use of Discretion in Customer Accounts without Approval Author: Jason T. Albin

On April 6, 2018, the Financial Industry Regulatory Authority (FINRA) Department of Enforcement approved a Letter of Acceptance, Waiver and Consent (AWC) submitted by former broker William Brunner. According to his FINRA BrokerCheck report, Brunner was most recently registered as a general securities representative, general securities principal, and an investment banking representative with Investment Planners, […]