Michael Giokas
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/23/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056082101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael Giokas, Respondent Former Registered Representative CRD No. 1398674 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Michael Giokas, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This
Reference 2017056082101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1398674 |
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