William Gerard Stapleton entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) because of allegedly failing to provide documents and information in a timely manner related to his investigation. Stapleton also allegedly made misrepresentations to a firm customer regarding the customer’s annuity investments, while he was employed at J.P. Morgan. Stapleton was barred from associating with any FINRA member firm in any capacity.
Stapleton was registered with Merrill Lynch in El Segundo, California from May 2008 until July 2008, Morgan Stanley in Santa Ana, California from September 2008 until June 2009, Chase Investment Services in Tustin, California from May 2010 until October 2012, J.P. Morgan Securities, also in Tustin from October 2012 until November 2012, and Arque Capital in Irvine, California from December 2012 until January 2015. He has two customer disputes against him. He is not currently licensed within the industry. FINRA permanently barred him from acting as a broker or otherwise associating with firms that sell securities to the public. If you would like to sue William Gerard Stapleton, please call our law offices based in Chicago at 312-332-4200. We can help you recover your financial losses with William Gerard Stapleton, as his former firm may be liable for them for their inability to supervise him while he was employed there.