BRIAN M. WACIK

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/10/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. BRIAN M. WACIK (CRD No. 1667489), Respondent. Disciplinary Proceeding No. 2006006537201 Hearing Officer-Andrew H. Perkins DEFAULT DECISION October 10, 2008 The Respondent is barred in all capacities for borrowing from a customer and concealing the loan from his member firm in violation of Conduct Rules 2370 and 2110.
Reference 2006006537201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1667489

Other names1

Also known as1

BRIAN MARK WACIK

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.