William Noel Girasole (CRD #6840837) Has Regulatory and Employment Separation Disclosures on FINRA BrokerCheck

William Noel Girasole (CRD #6840837) was previously registered as a broker and has regulatory and employment separation disclosures on FINRA BrokerCheck. We reviewed his BrokerCheck report on April 10, 2026. It reflects one regulatory event and two employment separations. If you worked with William Noel Girasole and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Regulatory Action(s)

William Girasole’s FINRA BrokerCheck report reflects one regulatory disclosure. A summary of the disclosure is below:

On December 23, 2025, FINRA issued a final regulatory action against William Girasole. William Girasole’s FINRA BrokerCheck report states that he consented to findings that he forged the electronic signatures of five customers and three registered representatives on six life insurance applications. BrokerCheck says the representatives and customers did not authorize those signatures, and the insurance provider canceled the applications before any premiums were charged. FINRA imposed a $5,000 fine and a two-month suspension. You can review the disciplinary document here: AWC link

Employment Separation

William Girasole’s FINRA BrokerCheck report also reflects two employment separation disclosures. Summaries are below:

First, William Girasole’s FINRA BrokerCheck report states that Equity Services, Inc. permitted him to resign on January 20, 2026. The firm referenced FINRA matter 2023079527501 and stated that he consented to findings involving forged electronic signatures on six life insurance applications.

Second, William Girasole’s FINRA BrokerCheck report states that NYLife Securities LLC reported a voluntary resignation on July 11, 2023. The firm said concerns arose during a review of his business practices, including an allegation that he used login information for an agent under his supervision to electronically submit life insurance business in violation of company policy. William Girasole denied that allegation.

Rule Summary #1: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 requires brokers and firms to observe high standards of commercial honor and just and equitable principles of trade. Forgery and unauthorized signatures can raise concerns under this rule because they affect the accuracy and integrity of account and application records.

Rule Summary #2: FINRA Rule 3110 (Supervision)

FINRA Rule 3110 requires firms to maintain a supervisory system that is reasonably designed to achieve compliance with securities laws and FINRA rules. When a disclosure involves use of another person’s login credentials or signatures, supervision and internal controls often become part of the investor-protection discussion.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, William Girasole:

Is not currently registered.

Has passed the Securities Industry Essentials (SIE) exam. William Girasole has also passed Series 6 and Series 63.

Was previously registered with firms that include Equity Services, Inc., NYLife Securities LLC, and MML Investors Services, LLC.

Kurta Law Can Help

If you worked with William Girasole and have concerns about your account, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful Resources: Unsuitable Investments | What Is Securities Fraud?

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. The firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.