DON HOSEA WILLIAMS

DON HOSEA WILLIAMS is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 4707 Executive Dr, SAN DIEGO, CA, 92121-3091.

DON HOSEA WILLIAMS has worked at LPL FINANCIAL LLC since January 04, 2016

Disclosure History

DON HOSEA WILLIAMS has 1 Disclosure Event(s).

Date: March 14, 1989
Category: Criminal
Charges: 1-SEXUAL ABUSE 1ST FELONY, DISMISSED2- BURGLARY 2ND, FELONY AMENDED CRIMINAL TRESPASS 2ND GUILTY PLEA. 3- CRIMINAL TRESPASS 1ST, MISDEMEANOR, DISMISSED4- TERRORISTIC THREATNING, MISDEMEANOR, DISMISSED 5- CRIMINAL MISCHIEF 3RD MISDEMEANOR, DISMISSED 6- HARASSING COMMUNICATION, MISDEMEANOR, DISMISSED 7- HARASSMENT MISDEMEANOR, DISMISSED Charge Type: FELONY
Disposition: ALL CHARGES DISMISSED EXCEPT BURGLARY 2ND WHICH WAS AMENEDED TO CRIMINAL TRESPASS A MISDEMEANOR.
Broker Comment: IN LATE FEBRUARY, EARLY MARCH OF 1989 A HEATED ARGUMENT WITH AND EX-GIRLFRIEND LED TO EXAGGERATED CHARGES. THE EX-GIRLFRIEND DID NOT PRESS CHARGES BUT THE STATE PICKED UP THE CASE AND CHARGED ME WITH A MISDEMEANOR.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for DON HOSEA WILLIAMS, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.