A broker settled FINRA charges for violating Qualification Examinations Rules of Conduct while taking the Securities Industry Essentials examination.
According to the FINRA Letter of Acceptance, Waiver and Consent, Aaron Williams violated FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade) by having access to his cell phone which contained study materials related to the licensing examination subject material.
Mr. Williams agreed to (i) suspension from associating with any FINRA member firms for 18 months and (ii) a $5,000 fine.
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