Defendant Name:
William Tirrell
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of William Tirrell
First Document Date
23-Jun-2016
Initial Filing Format
Administrative Action
File Number
3-17313
Allegation Type
Broker Dealer
Affiliations
- Former: CFO at Merrill Lynch, Pierce, Fenner & Smith, Inc. (August 2014—April 2016)
- Former: FinOp and Head of the Regulatory Reporting Department at Merrill Lynch, Pierce, Fenner & Smith, Inc. (2004—April 2016)
Violations Alleged
Related Violations Alleged
William Tirrell is alleged to have aided and abetted Merrill Lynch, Pierce, Fenner & Smith Incorporated's violation of Section 15(c)(3), 17(a)(1), Rule 15c3-3, 17a-5(a), 17a-5(d) Exchange Act (willfully/knowingly).
William Tirrell is alleged to have aided and abetted Merrill Lynch Professional Clearing Corporation's violation of Section 15(c)(3), 17(a)(1), Rule 15c3-3, 17a-5(a), 17a-5(d) Exchange Act (willfully/knowingly).
William Tirrell is alleged to have caused Merrill Lynch, Pierce, Fenner & Smith Incorporated's violation of Section 15(c)(3), 17(a)(1), Rule 15c3-3, 17a-5(a), 17a-5(d) Exchange Act (willfully/knowingly).
William Tirrell is alleged to have caused Merrill Lynch Professional Clearing Corporation's violation of Section 15(c)(3), 17(a)(1), Rule 15c3-3, 17a-5(a), 17a-5(d) Exchange Act (willfully/knowingly).
Resolutions
First Resolution Date
