Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on February 17, 2017 indicate that North Dakota-based ProEquities broker William Hathaway was recently sanctioned. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hathaway (CRD# 1133971).
William Hathaway has spent thirty years in the securities industry and has been registered with ProEquities in Fargo, North Dakota since 2012. Previous registrations include Associated Financial Services, which has been expelled by FINRA, in Plymouth, Minnesota; Hartford Equity Sales Company in Hartford, Connecticut; Locust Street Securities in Des Moines, Iowa; CNA Investor Services in New York, New York; and Hartford Equity Sales Company in Hartford, Connecticut. He is a registered broker with four US states: Iowa, Minnesota, North Dakota and South Dakota.
According to his BrokerCheck report, he has received one customer complaint and two regulatory sanctions.
In October 2016 the State of North Dakota sanctioned William Hathaway following allegations he failed to disclose a prior regulatory action against him, in violation of statutes. He was issued a fine of $500.
In 2015 a customer alleged William Hathaway, while employed at Hartford Equity Sales Company, incorrectly set up an insurance policy. The complaint settled for $55,000.
In 2011 the State of Minnesota Commissioner of Commerce sanctioned William Hathaway following allegations he reported, via a third party vendor, continuing education credits for courses that were not completed or earned by him. He was censured and issued a fine of $5,000.
If you or someone you know has a complaint regarding William Hathaway, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.