FINRA v. William Steven Cooke

William Steven Cooke allegedly refused to appear for on-the-record testimony requested by FINRA in connection with an investigation. This matter appears to have originated from FINRA’s review of a Form U5 filed by Cooke’s member firm that stated he was discharged because he entered unauthorized trades in his wife’s individual retirement account (IRA) and then signed her name to documents to move the cash from the IRA to a joint account. Cooke repaid the sums.

Summary generated from official Financial Industry Regulatory Authority press release