{"id":6647,"date":"2018-09-13T12:16:53","date_gmt":"2018-09-13T16:16:53","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=6647"},"modified":"2018-09-13T12:16:53","modified_gmt":"2018-09-13T16:16:53","slug":"finra-bars-broker-william-downing-allegations-of-1m-excess-trading","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-broker-william-downing-allegations-of-1m-excess-trading\/","title":{"rendered":"FINRA Bars Broker William Downing, Allegations of $1M Excess Trading"},"content":{"rendered":"

William Downing (CRD #1529382<\/a>) is a former registered broker and investment advisor who was last registered with Coastal Equities, Inc. (CRD #23769) of Wimberly, TX. He was previously employed with J.W. Cole Financial, Inc. (CRD #124583), also of Wimberly, as well as Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) and Wells Fargo Advisors, LLC (CRD #19616), both of Austin, TX. No current employment information is available. He began in the industry in 1986.<\/p>\n

FINRA barred Downing after he failed to respond to a request for information. He was previously suspended, but did not respond to request termination of his suspension within the three-month time frame. He was indefinitely barred on 08\/20\/2018. No additional information is available.<\/p>\n

\"Boca-Raton-Oppenheimer-Employees-Settle-SEC-Investigation-300x208\"Downing is also the subject of a customer dispute, filed on 07\/05\/2018. In it, the client alleges that Downing \u201cbetween 2013 and 2018. . .excessively traded client’s account.\u201d<\/em> Requested damages are $1M, but no additional details are available. It is not known if this case is related to the FINRA action that let to Downing ultimately being barred indefinitely.<\/p>\n

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

William Downing (CRD #1529382) is a former registered broker and investment advisor who was last registered with Coastal Equities, Inc. (CRD #23769) of Wimberly, TX. He was previously employed with J.W. Cole Financial, Inc. (CRD #124583), also of Wimberly, as well as Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691) and Wells Fargo Advisors, […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[588,577,580],"tags":[860,1265,290,1264],"class_list":["post-6647","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","category-finra-disciplinary-actions","category-stockbroker-misconduct","tag-coastal-equities","tag-scott-silver-coastal-equities","tag-securities-arbitration","tag-william-downing"],"yoast_head":"\nFINRA Bars Broker William Downing, Allegations of $1M Excess Trading — Securities Arbitration Lawyers Blog — September 13, 2018<\/title>\n<meta name=\"description\" content=\"William Downing (CRD #1529382) is a former registered broker and investment advisor who was last registered with Coastal Equities, Inc. 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