John N Girgis

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/30/2025: Girgis refused to appear for on-the-record testimony requested pursuant to FINRA Rule 8210 in connection with an investigation into Girgis’s outside business activities and his trading activity in his Worden Capital and SW Financial customers’ accounts. As a result, Girgis violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities...
Reference 2019060753512data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5021526

Other names1

Also known as1

John N. Girgis

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