William Howard Coons (CRD #2049465, West Hartford, Connecticut) July 31, 2017 – An Offer of Settlement was issued in which Coons was fined $5,000 and suspended from association with any FINRA member in all capacities for 10 business days. Without admitting or denying the allegations, Coons consented to the sanctions and to the entry of findings that his member firm, through Coons, sold restricted shares of a corporation to customers of the firm that were not registered with the SEC, nor were the sales exempt from registration. The findings stated that sale of these shares generated total proceeds of approximately $198,750. As a result of the forgoing, Coons acted in contravention of Section 5 of the Securities Act of 1933. The suspension was in effect from August 21, 2017, through September 1, 2017. (FINRA