Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website listed under, “Disciplinary and Other FINRA Actions, April 2016.”
William Wesley Marshall (CRD #3267723, Frisco, Texas)
was fined $10,000 and suspended by FINRA for 15 months for allegedly participating in the sale of $1.72 million of privately-issued preferred stock without having provided prior written notice to his member firm.
FINRA’s findings stated that as compensation for certain private securities transactions, William W. Marshall received common stock purchase warrants from the issuer.
Also, FINRA’s findings stated that Marshall engaged in an outside business activity without providing prior written notice to his firm. Marshall received common stock purchase warrants as compensation for serving as a member of an advisory board for the issuer. William W. Marshall inaccurately reported on the annual firm compliance that he had disclosed all of his outside business activities in accordance with his firm’s written policies and procedures.
FINRA’s findings also included that Marshall used an unapproved personal email account to communicate with firm clients about investing with the issuer, effectively preventing his firm from fulfilling its supervisory obligations. FINRA found that Marshall distributed to investors sales literature the issuer had prepared that failed to disclose his business and personal financial interest in it. Additionally, although Marshall did not create the sales literature, it contained misleading, exaggerated, and/or unwarranted statements and inadequate risk disclosures.
The suspension is in effect from March 7, 2016, through June 6, 2017.
(FINRA Case #2012033291204)
William W. Marshall has been registered in the securities industry for 16 years, and is currently registered since 01/2011 with the following firm:
AMERIPRISE FINANCIAL SERVICES, INC.
6860 N DALLAS PKWY, STE 500, PLANO, TX 75024-4253
William W. Marshall was previously registered with the following firms:
01/2002 - 02/2011 SOUTHWEST SECURITIES, INC. - DALLAS, TX
10/1999 - 12/2001 MAY FINANCIAL CORPORATION - DALLAS, TX
If you were a client of Ameriprise Financial broker, William W. Marshall, and experienced losses due to his recommendations, call Soreide Law Group for a free consultation with an attorney on the possibility of recovering your losses at: 888-760-6552.
Soreide Law Group represents clients nationwide before FINRA.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
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