Jason Wilk, of New York, New York, a stockbroker formerly registered with National Securities Corporation, has been named in a customer initiated investment related complaint, which settled on September 7, 2016 for $15,000.00 based upon allegations that Wilk effected unsuitable over-the-counter equities transactions in the customer’s account. On the same day, another customer initiated investment related written complaint involving Wilk’s conduct was settled for $15,000.00 in damages based upon allegations that Wilk effected unauthorized and unsuitable equity trades in the customer’s account.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Wilk has been identified in four additional customer initiated investment related disputes containing allegations of Wilk’s misconduct while employed with National Securities Corporation and Meyers Associates LP. Particularly, on March 4, 2016, a customer initiated investment related arbitration claim involving Wilk’s conduct was settled for $10,000.00 in damages based upon allegations that Wilk breached his fiduciary duties, and effected unsuitable and unauthorized stock transactions in the customer’s account.
On June 20, 2016, another customer filed an investment related arbitration claim involving Wilk’s conduct, in which the customer requested $400,000.00 in damages based upon allegations that Wilk effected equity transactions in the customer’s account which were not suitable and placed trades in the customer’s account without authorization. Subsequently, on September 23, 2016, a customer initiated investment related complaint pertaining to Wilk’s actions was settled for $22,500.00 in damages based upon allegations that Wilk effected unauthorized over-the-counter equity trades in the customer’s account.
Wilk’s registration with National Securities Corporation was terminated on May 13, 2016. From November 8, 2016, to January 4, 2017, he was registered with Windsor Street Capital, LP.
Guiliano Law Group
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