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Bill Griffith: Involved in Pending Regulatory Investigation

Bill GriffithPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on November 10, 2016 indicate that former Texas-based E&P Partners broker Bill Griffith is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Griffith (CRD# 2281573).

Bill Griffith has spent seven years in the securities industry and was most recently registered with Texas E&P Partners in Richardson, Texas (2011-2016). Previous registrations include Nobles Securities in Plano, Texas (2010-2011); Chestnut Energy Partners in Richardson, Texas (2010); John Hancock (1992-1993); John Hancock Mutual Life Insurance Company (1992-1993). He has passed four securities examinations: Series 39 (Direct Participation Programs Principal Examination); Series 6 (Investment Company Products/Variable Contracts Representative Examination); Series 22 (Direct Participation Programs Representative Examination); and Series 63 (Uniform Securities Agent State Law Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Bill Griffith is the subject of a pending regulatory investigation.

In June 2016 FINRA “made a preliminary determination to recommend disciplinary action, alleging Mr. Griffith conducted inadequate due diligence in an offering and approved the offering for sale.” Mr. Griffith made the following comment on his disclosure form: “Mr. Griffith denies FINRA’s allegations and will defend himself in the appropriate forum.” The investigation remains pending.

If you have complaints regarding Bill Griffith, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.