WILLIAM M. QUIGLEY (CRD# 1968265) aka BILL QUIGLEY, Seaford, Long Island, former Chief Compliance Officer at a Woodbury, New York, brokerage firm, was charged on Thursday, May 28, 2015, in a two-count indictment by federal prosecutors in Brooklyn, New York. Quigley was charged with conspiracy to commit wire fraud and money laundering conspiracy in connection with a fraudulent investment scheme which allegedly defrauded investors of more than $500,000.
Quigley faces a maximum sentence of 20 years of imprisonment if convicted.
According to FINRA's BrokerCheck, Bill Quigley was previously registered with the following firms:
10/2007 - 09/2014 TRIDENT PARTNERS LTD. (CRD# 41258) - WOODBURY, NY
10/2005 - 10/2007 JOSEPH STEVENS & COMPANY, INC. (CRD# 35459) - NEW YORK, NY
06/2004 - 09/2005 TRIDENT PARTNERS LTD. (CRD# 41258) - WOODBURY, NY
10/2003 - 06/2004 JOSEPH STEVENS & COMPANY, INC. (CRD# 35459) - BROOKLYN, NY
08/2002 - 09/2003 WIN CAPITAL CORP. (CRD# 36172) - BAYVILLE, NY
FINRA expelled the firm in 02/2004
04/2002 - 08/2002 LADENBURG CAPITAL MANAGEMENT INC. (CRD# 14623) - BETHPAGE, NY
12/1999 - 04/2002 BENJAMIN SECURITIES, INC. (CRD# 7754) - HAUPPAUGE, NY
10/1991 - 06/1999 FLEET SECURITIES, INC. (CRD# 13071) - DALLAS, TX
07/1989 - 10/1991 QUICK & REILLY, INC. (CRD# 11217) - NEW YORK, NY
If you've been the victim of financial losses due to your broker/financial advisor, call Soreide Law Group for a free consultation on how to potentially recover those losses at 888-760-6552. We represent clients nationwide before FINRA.
Disclosure: The author has no positions in any stocks mentioned, and no plans to initiate any positions within the next 72 hours.