JOHN ANTHONY WASZOLEK
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/11/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. John Anthony Waszolek (CRD No. 800403), Respondent. DISCIPLINARY PROCEEDING No. 2012031181001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From at least late 2008, Respondent John Anthony Waszolek ("Waszolek") knew that JL, his 81 year-old customer, had been diagnosed with Alzheimer's disease and suffered from dementia and memory loss.
07/13/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. John Anthony Waszolek (CRD No. 800403), Respondent. DISCIPLINARY PROCEEDING No. 2012031181001 HEARING OFFICER: LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 13, 2015 INTRODUCTION Disciplinary Proceeding No. 2012031181001 was filed on June 11, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent John Anthony Waszolek
Reference 2012031181001data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 800403 |
Other names1
Also known as1
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