March 31, 2022 – An OHO decision became final in which Wilk was barred from association with any FINRA member in all capacities. The sanction was based on the findings that Wilk failed to appear for on-the-record testimony in connection with FINRA’s investigation into whether he excessively traded a customer’s account. The findings stated that Wilk’s trading in the account resulted in a high cost-toequity ratio and a turnover rate that indicated excessive trading had occurred and the information sought by FINRA was material to its investigation and necessary to complete its mandate to fully investigate potential rule violations and to protect the investing public. (FINRA Case #2019060753502)
Matthew Schwartz
Matthew Schwartz represents clients harmed by lawyers, accountants, insurance professionals, real estate agents, brokers, financial advisors, and other trusted professionals. He handles Florida litigation and nationwide FINRA arbitration. He has been recognized in The Best Lawyers in America® and named to the Best Law Firms® list.
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