September 19, 2014
Merrill Lynch stockbroker William “Bill” Mulder (CRD# 1474998) of Tulsa, Oklahoma recently entered into a Letter of Acceptance, Waiver and Consent to resolve allegations FINRA made against him regarding violations of securities industry rules.
Bill Mulder consented, without admitting or denying the allegations made against him by FINRA, to a bar from associating with any FINRA member firm in any capacity in resolution of FINRA Disciplinary Proceeding No. 2014040606201. FINRA alleged that Mulder failed to provide documents and information in response to FINRA’s investigation into Mulder’s alleged misappropriation and embezzlement of funds from a customer’s variable annuity.