Jason A. Wilk
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/27/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jason A. Wilk CRD No. 6072438, Respondent. Disciplinary Proceeding No. 2019060753502 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In 2019, FINRA began investigating respondent Jason A. Wilk’s trading in Customer A’s account to determine whether the account was excessively traded. Specifically, Wilk’s trading in Customer A’s account between May 2018 and March 2019 resulted in a cost- to-equity
03/03/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JASON A. WILK (CRD No. 6072438), Respondent. Disciplinary Proceeding No. 2019060753502 Hearing Officer—BEK DEFAULT DECISION March 3, 2022 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide testimony during an investigation. Appearances For the Complainant: David Monachino, Esq., Michael Dorfman-Gonzalez, Esq.,
Reference 2019060753502data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6072438 |
Other names1
Also known as1
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