Soreide Law Group recently obtained the following summary of information from FINRA's Website under "Disciplinary and Other Actions, November 2014."
William Brian Mulder (CRD #1474998, Tulsa, Oklahoma)
was barred by FINRA for failure to provide FINRA with documents and information.
FINRA's findings stated that their requests for information were related to their investigation into the member firm’s filing of a Form U5 amendment for William Mulder which included customers’ allegations against William Brian Mulder for misappropriation and omission of material facts, embezzlement and forgery regarding a variable annuity.
(FINRA Case #2014040606201)
William Brian Mulder was previously registered with the following securities firm(s):
09/1997 - 05/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD# 7691) - TULSA, OK
04/1986 - 08/1997 METLIFE SECURITIES INC. (CRD# 14251) - NEW YORK, NY
04/1986 - 08/1997 METROPOLITAN LIFE INSURANCE COMPANY (CRD# 4095) - NEW YORK, NY
This ends the information from FINRA's website.
Call the Soreide Law Group for a free consultation on how to potentially recover your investment losses at 888-760-6552.
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