William Brunner, former Broker, Barred by FINRA for Alleged Failure to Cooperate with Investigation into His Possible Unauthorized and Excessive Trades
Adam J. Marquardt
April 9, 2018
On April 6, 2018, FINRA announced it barred securities broker William Brunner from associating with firms registered with FINRA. FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates securities brokers and brokerage firms. FINRA announced Brunner’s bar in a Letter of Acceptance, Waiver and Consent (AWC). The AWC stated FINRA barred Brunner for declining to
