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Athanasios Tomaras

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/07/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066205401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Athanasios Tomaras (Respondent) General Securities Representative; General Securities Sales Supervisor; Municipal Securities Representative; General Securities Principal CRD No. 2722538 Pursuant to FINRA Rule 9216, Respondent Athanasios Tomaras submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2020066205401finra.orgdata-portal.finra.org

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