William Ambos Gill (CRD # 221678, Registered Representative, Shaker Heights, Ohio) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Gill consented to the described sanction and to the entry of findings that he withdrew $13,000 from a customer’s securities account without the customer’s knowledge or permission by having checks drawn on the account payable to the customer. The findings stated that the checks were sent to Gill’s office, where he signed the customer’s name on the receipt acknowledging delivery, signed the customer’s name on the reverse side of the checks and made each check payable to himself. The findings also stated that Gill signed his own name beneath the customer’s purported endorsement and then deposited the funds into his personal checking account. (FINRA Case # 2009016629001)

We take cases on a purely contingency fee basis against brokerage firms who employ brokers committing misconduct of this nature. Please contact us for a free evaluation.