Investigation: Broker William Brunner Barred by FINRA for Unsuitable Trading

broker-william-bill-brunner-investigation The Sonn Law Group is currently investigating William (Bill) Brunner, broker CRD# 2610348, a broker based in Huntington New York.

Brunner was banned from working in the securities industry by FINRA after he refused to appear for testimony related to an ongoing investigation into customer complaints involving, among other things, possible excessive trading and use of discretion without written authorization in customers’ accounts.

Brunner indicated he will not participate in the investigation, in violation of FINRA Rules 8210 and 2010.

According to Brunner’s profile on BrokerCheck, he resigned from his firm Investment Planners, Inc. in May of 2017 after customer disputes arose involving use of discretion. His profile also contains five customer disputes beginning in 1998, three of which have resulted in settlements or judgements, one of which is still pending, and one which was denied.


If you have ever invested money with broker Bill Brunner, please contact the Sonn Law Group to speak with a qualified securities fraud attorney about your experience. You may be entitled to seek compensation for losses.
 

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