Kostas Tsamos
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/08/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018056490316 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kostas Tsamos also known as Gus Tsamos (Respondent) Former General Securities Representative CRD No. 2782014 Pursuant to FINRA Rule 9216, Respondent Kostas Tsamos 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 2018056490316data-portal.finra.orgfinra.org
Other names1
Also known as1
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