James Robert Ptacek Jr.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/24/2026: Between January 2023 and June 2024, while registered with FINRA through an association with LPL Financial, Ptacek engaged in an outside business activity by serving as a member of the board of directors and treasurer for an outside business without providing prior written notice to the firm, in violation of FINRA Rules 3270 and 2010. For this violation, Ptacek is suspended for 45 calendar days and fined $5,000...
Reference 2024084141201finra.orgdata-portal.finra.org
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