Tag: William August Glaser barred by FINRA

St. Albans, Missouri broker William August Glaser of National Planning Corporation Barred by FINRA

According to FINRA’s Disciplinary and Other FINRA Actions publication broker William August Glaser (CRD# 1274847) of St. Albans Missouri was barred from association with any FINRA member in all capacities for failing to provide documents and information requested by FINRA in connection with FINRA’s Department of Enforcement’s investigation concerning the circumstances surrounding the termination of Glaser’s registration by National Planning Corporation. The findings stated that the National Planning Corporation terminated Glaser’s registration, reporting that it had received an arbitration claim alleging that he had solicited a private investment away from the firm (FINRA Case # 2017054809301).

Glaser entered the securities industry in 1984. He was registered with eight firms before joining National Planning Corporation in December 2007. National Planning Corporation terminated Glaser’s registration on July 5, 2017.

According to FINRA’s Broker Check, William August Glaser was registered with the securities industry for 33 years, and was registered with the following firm(s):

National Planning Corporation
CRD# 29604
St. Albans Rd, MO
12/2007 – 7/2017

Investment Planners, Inc.
CRD# 18557
Chesterfield, MO
1/2002- 12/2007

Cutter & Company, Inc.
CRD# 22449
Ballwin, MO
9/1996 – 12/2001

J.E. Liss & Company, Inc.
CRD# 21950
Milwaukee, WI

Walnut Street Securities, Inc.
CRD# 15840
El Segundo, CA
12/1989 – 7/1991

Investment Management & Research, Inc.
CRD# 6694
St. Petersburg, FL

Integrated Resources Equity Corp.
CRD# 6403
2/1989 – 7/1989

Mark Twain Brokerage Services, Inc.
CRD# 16925
11/1987 – 12/1988

ISFA Corporation
CRD# 12984
7/1984- 11/1987


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