Tag Archives: William H. Watson III

Finance 500 Named In Customer Dispute About Suitability

November 21, 2017  |   Posted by :   |   Unsuitable Investment Recommendations   |   0 Comments

William Henry Watson III, of Irvine, California, a stockbroker formerly registered with Finance 500, Inc., is the subject of a customer initiated investment related written complaint, which settled on February 15, 2017, for $161,653.66 in damages founded on allegations that Watson effected unsuitable direct investment product transactions with the customer’s funds. Financial Industry Regulatory Authority […]

Read More »

Finance 500 Stockbroker for Misleading Customers

William H. Watson III of Brookfield, Wisconsin, a registered representative with Finance 500, was fined $5,000 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity for ten business days after consenting to findings that he had participated in securities offerings using marketing materials that were not fair and […]

Read More »