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William Slattery Barred by FINRA for Allegedly Cheating on Exam

William Slattery (CRD #: 7739278), a broker formerly registered with J.P. Morgan Securities, has been barred by FINRA, according to his BrokerCheck record, accessed on March 15, 2025. Read on if you have questions about his alleged conduct as a broker.

Bar by FINRA

On February 27, 2025, William Slattery consented to the entry of findings that he allegedly cheated on the North American Securities Administrators Association Series 66 Uniform Combined State Law Exam.

According to a Letter of Acceptance, Waiver & Consent (AWC), William Slattery allegedly hid his cellphone in the toilet seat cover dispenser of the restroom at his testing location. He allegedly accessed exam study materials and ChatGPT during a restroom break, then changed several of his answers after returning to his workstation.

William Slattery allegedly attested prior to the exam that he had read and would follow the exam’s NASAA Qualification Examinations Rules of Conduct, including by not using any personal items (such as cell phones or notes) during the exam.

The AWC alleged that William Slattery violated FINRA Rule 2010.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Sanctions

FINRA permanently barred William Slattery on February 27, 2025. You can read the full AWC here.

Background Information

William Slattery has passed the following exams:

  • General Securities Representative Examination – Series 7TO
  • Securities Industry Essentials Examination – SIE

He previously worked for J.P. Morgan Securities (CRD#:79).

Kurta Law Can Help

If you worked with William Slattery and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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