{"id":2818,"date":"2016-02-16T00:00:00","date_gmt":"2016-02-16T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/william-slones-45-year-career-shows-14-finra-disclosure-events\/"},"modified":"2018-10-08T12:39:57","modified_gmt":"2018-10-08T16:39:57","slug":"william-slones-45-year-career-shows-14-finra-disclosure-events","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/william-slones-45-year-career-shows-14-finra-disclosure-events\/","title":{"rendered":"William Slone\u2019s 45-year Career Shows 14 FINRA Disclosure Events"},"content":{"rendered":"<\/p>\n

\"William<\/p>\n

Broker William Slone\u2019s most recent complaint alleges unauthorized securities trading.<\/h2>\n

Acting as a securities investment broker since 1969, William Slone faces yet another customer complaint regarding his activities. In November 2015, Slone consented to the sanctions and the entry of the findings<\/span><\/a> that he effected discretionary transactions in the account of a customer without obtaining prior written authorization from the customer and without his member firm having accepted the account as discretionary in writing.<\/p>\n

Throughout his career, Slone amassed a total of 10 customer disputes, 3 regulatory events, and 1 employment separation after allegations. Some of the allegations against him include unauthorized trading and forged margin form, unsuitability of investment and wrongful discretion, nondisclosure regarding receiving shares of company stock that he recommended to his customers to purchase, excessive trading, and effecting discretionary transactions without prior written authorization.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Broker William Slone\u2019s most recent complaint alleges unauthorized securities trading. Acting as a securities investment broker since 1969, William Slone faces yet another customer complaint regarding his activities. In November 2015, Slone consented to the sanctions and the entry of the findings that he effected discretionary transactions in the account of a customer without obtaining […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[599],"tags":[399],"class_list":["post-2818","post","type-post","status-publish","format-standard","hentry","category-securities-arbitration","tag-finra-disclosure-events"],"yoast_head":"\nWilliam Slone\u2019s 45-year Career Shows 14 FINRA Disclosure Events — Securities Arbitration Lawyers Blog — February 16, 2016<\/title>\n<meta name=\"description\" content=\"Check out the new article William Slone\u2019s 45-year Career Shows 14 FINRA Disclosure Events on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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