DAVID WOLK

08/18/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034393403 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Wolk, Respondent Registered Representative CRD No. 2945630 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I David Wolk ("Wolk" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

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08/19/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. DAVID WOLK (CRD No. 2945630), Respondent. DISCIPLINARY PROCEEDING No. 2012033981601 COMPLAINT The Department of Enforcement ("Department") alleges: SUMMARY 1. From November 2003 through January 2014, while associated with Woodstock Financial Group, Inc. (''Woodstock"), Respondent David Wolk was subject, at various times, to six tax liens totaling over $810,000 and a state tax levy

01/14/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID WOLK (CRD No. 2945630), Respondent. Disciplinary Proceeding No. 2012033981601 Hearing Officer-MAD AMENDED DEFAULT DECISION January 14, 2016 For willfully failing to timely amend his Form U4, in violation of Article V, Section 2(c) of the NASD and FINRA By-Laws, FlNRA Rules 1122 and 2010, NASD Rule 2110, and NASD IM-1000-1, Respondent is suspended from associating with any

Reference 2012033981601data-portal.finra.orgdata-portal.finra.orgfinra.org