According to a recent FINRA Disciplinary Action, William Brian Mulder (CRD #1474998, Tulsa, Oklahoma) submitted an AWC in which he was barred from association with any FINRA member in any capacity.
Without admitting or denying the findings, Mulder consented to the sanction and to the entry of findings that he failed to provide FINRA with documents and information. The findings stated that the requests were related to an investigation into the events leading up to a member firm’s filing of a Form U5 amendment for Mulder including, among other things, customers’ allegations against Mulder for misappropriation and omission of material facts, embezzlement and forgery regarding a variable annuity.
For the full case information, see FINRA Case #2014040606201.
According to his FINRA Broker Check Report, Mulder was registered with Merrill Lynch from September 1997 through May 2012.
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group. The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee.
For a free consultation with a securities attorney, please call the firm’s Chicago office at 312/238-9650. For more information on The White Law Group, visit https://www.whitesecuritieslaw.com.