Thomas Jacob Ciolek

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/07/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070741901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Thomas Jacob Ciolek (Respondent) Former General Securities Representative and Former Investment Company and Variable Contracts Products Representative CRD No. 2314551 Pursuant to FINRA Rule 9216, Respondent Thomas Jacob Ciolek submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2021070741901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2314551

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