Defendant Name:
William S. Costas
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of William S. Costas
First Document Date
20-Jul-2020
Initial Filing Format
Administrative Action
File Number
3-19884
Allegation Type
Municipal Securities & Public Pensions
Affiliations
- Current: Registered Investment Adviser at UBS Financial Services Inc. (From 1995)
- Current: Broker/Registered Representative at UBS Financial Services Inc. (From 1991)
Violations Alleged
•
MSRB Rules G-17, G-11(k)
Resolutions
Bars:
- "Respondent shall not offer, purchase, or sell negotiated new issue municipal securities on behalf of (1) any broker, dealer, investment adviser, or municipal securities dealer, or (2) any customer or client of any broker, dealer, investment adviser, or municipal securities dealer" for 12 months
First Resolution Date
20-Jul-2020
Headline Total Penalty and Disgorgement
$41,585
