William R.

William R. is an experienced attorney and member of the Florida Bar, currently serving as a FINRA Investigator on the VAST Team, focusing on complex investigations of broker-dealers and their representatives for regulatory compliance with U.S. federal securities laws, FINRA, SEC, and MSRB rules and regulations.

With a background as a corporate and securities attorney, William R. has expertise in conducting Cause and Firm Exams, dealing with various regulatory issues such as suitability, supervision, fraud, AML, cyber-enabled fraud, and more in the U.S. financial industry.

As a former General Counsel to corporations in the Aerospace & Defense and low-observable/stealth UAV industries, William R. demonstrated proficiency in legal affairs, navigating government contracts, and overseeing corporate acquisitions.

William R. also boasts a strong foundation in the Financial Services Industry and Business Brokerage Industry, holding licenses such as Series 7, 66, annuity, health, insurance, and Real Estate licenses.

His educational background includes a Juris Doctor with Honors from the University of Florida, along with certificates in Cybersecurity, Management, and Business from Stanford, Yale, and Harvard respectively.

Having served in various roles at organizations like FINRA, Morgan Stanley, and legal firms, William R. brings a wealth of legal, technology, and business experience to the table, making him a versatile and knowledgeable professional in the financial and legal sectors.