JOHN F. WOLLE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/03/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. John F. Wolle (CRD No. 5479607), Respondent. DISCIPLINARY PROCEEDING No. 2013035801101 Hearing Officer - MC AMENDED COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between May and July 2011, John Wolle forged the name of CF, a person he had never spoken to or met, on three indexed annuity applications totaling $254,998. Without CF's knowledge or authorization,
04/15/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN F. WOLLE (CRD No. 5479607), Respondent. Disciplinary Proceeding No. 2013035801101 Hearing Officer-CC DEFAULT DECISION April 15, 2014 Respondent falsified and forged a customer's signature on two annuity applications, failed to disclose outside business activities to his firm, and parked his registration with a firm to avoid requalification requirements, in violation of NASD
Reference 2013035801101data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5479607 |
Other names1
Also known as1
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