Securities Arbitration Lawyers BlogFormer California and Texas Broker Willard L. Golightly Under Investigation For Multiple Alleged Securities Violations
Silver Law Group is investigating former Fresno, California- and San Antonio, Texas-based broker Willard L. Golightly (CRD# 4395250) after FINRA permanently barred him from engaging in certain activities in the securities industry.
According to Golightly’s FINRA BrokerCheck report, FINRA suspended Golightly in December 2016 after Golightly failed to comply with an arbitration award or settlement agreement or to respond to a FINRA inquiry. Including the suspension, Golightly has a litany of other disclosures on his FINRA BrokerCheck report.
In September 2015, FINRA barred Golightly for inappropriately concentrating his customers in low-priced securities and failed to respond to red flags. Golightly additionally failed to maintain and enforce his member firm’s written supervisory procedures.