William Joseph Conn (also known as Bill Conn), of San Francisco, California, a stockbroker formerly registered with Raymond James Associates Inc., has been fined $15,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Conn engaged in unauthorized trading effected without the written permission required…
William Joseph Conn (also known as Bill Conn), of San Francisco, California, a stockbroker registered with Raymond James Associates Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested between $1,000,000.00 and $5,000,000.00 in damages based upon allegations that Conn made unsuitable recommendations, made omissions of…
William Joseph Conn (also known as Bill Conn) of San Francisco California a stockbroker formerly registered with JP Morgan Securities LLC is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $2,000,000.00 in damages founded upon allegations that between 2012 and 2018, Conn effected unauthorized transactions while…