Julian Jay Piekarczyk
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/25/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JULIAN JAY PIEKARCZYK (CRD No. 1128773), Respondent. Disciplinary Proceeding No. 2018058117101 Hearing Officer–RES DEFAULT DECISION September 25, 2020 Respondent is barred from associating with any FINRA member in any capacity because, in violation of his employer firm’s policies, Respondent induced a customer to designate Respondent’s spouse as a beneficiary on financial products the
06/16/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Julian Jay Piekarczyk CRD No. 1128773, Respondent. Disciplinary Proceeding No. 2018058117101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period 2014 through 2017 (the "Relevant Period"), Respondent Julian Jay Piekarczyk engaged in an unethical course of conduct by taking advantage of his relationship
Reference 2018058117101data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1128773 |
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