JOHN SCOTT SIMONCIC

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/24/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054755205 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: John S. Simoncic, Respondent General Securities Representative CRD No. 1062932 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described
Reference 2017054755205data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1062932

Other names1

Also known as1

John S. Simoncic

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