Tag Archives: William Bernard Lyons

FINRA Fines ACGM Supervisor For Failure To Supervise

March 16, 2018  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

William Bernard Lyons of New York New York is a stockbroker formerly employed by ACGM, Inc. who has been fined $10,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to supervise a firm stockbroker’s private securities transactions […]

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