Stockbroker Sidesteps Felony But Trips Over Misdemeanor
- Tuesday, October 9, 2012, 8:46
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For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, William Mitchell Tillett submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. In the Matter of William Mitchell Tillett, Respondent (AWC 20110274376, October 3, 2012).
http://www.forbes.com/sites/billsinger/2012/10/09/stockbroker-sidesteps-felony-but-trips-over-misdemeanor/
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