jason andrew wilk

BrokerCheck Report

Jason Andrew WILK

Section Title

Report Summary

Broker Qualifications

Registration and Employment History

Disclosure Events

CRD# 6072438

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BrokerCheck offers information on all current, and many former, registered securities brokers, and all current and formerregistered securities firms. FINRA strongly encourages investors to use BrokerCheck to check the background ofsecurities brokers and brokerage firms before deciding to conduct, or continue to conduct, business with them.

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· Please note that the information contained in a BrokerCheck report may include pending actions orallegations that may be contested, unresolved or unproven. In the end, these actions or allegations may beresolved in favor of the broker or brokerage firm, or concluded through a negotiated settlement with no admissionor finding of wrongdoing.

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o information that regulators report regarding disciplinary actions or allegations against firms or brokers.

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brokercheck.finra.org


https://www.AdviserInfo.sec.gov

http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/P455414


http://brokercheck.finra.org/Support/Terms

Jason A. WILK

CRD# 6072438

This broker is not currently registered.

Report Summary for this Broker

This report summary provides an overview of the broker's professional background and conduct. Additionalinformation can be found in the detailed report.

Disclosure Events

All individuals registered to sell securities or provideinvestment advice are required to disclose customercomplaints and arbitrations, regulatory actions,employment terminations, bankruptcy filings, andcriminal or civil judicial proceedings.

Are there events disclosed about this broker? Yes

The following types of disclosures have beenreported:

Type Count

Regulatory Event 2

Customer Dispute 6

Judgment/Lien 2



This broker has passed:

0 Principal/Supervisory Exams

2 General Industry/Product Exams

1 State Securities Law Exam

Registration History

This broker was previously registered with thefollowing securities firm(s):

WORDEN CAPITAL MANAGEMENT LLCCRD# 148366New York, NY10/2017 - 04/2019

B

CRAFT CAPITAL MANAGEMENT LLCCRD# 171350New York, NY05/2017 - 09/2017

B

WINDSOR STREET CAPITAL, LPCRD# 34171NEW YORK, NY11/2016 - 01/2017

B

www.finra.org/brokercheck User Guidance

1�2022 FINRA. All rights reserved. Report about Jason A. WILK.


http://www.finra.org/brokercheck

http://www.finra.org/brokercheck_reports



Registrations

This section provides the self-regulatory organizations (SROs) and U.S. states/territories the broker is currently registered and licensed with, thecategory of each license, and the date on which it became effective. This section also provides, for every brokerage firm with which the broker iscurrently employed, the address of each branch where the broker works.








Industry Exams this Broker has Passed

This individual has passed 0 principal/supervisory exams, 2 general industry/product exams, and 1 state securities law exam.

This section includes all securities industry exams that the broker has passed. Under limited circumstances, a broker may attain a registrationafter receiving an exam waiver based on exams the broker has passed and/or qualifying work experience. Any exam waivers that the broker hasreceived are not included below.

Exam Category Date

Principal/Supervisory Exams

No information reported.

Exam Category Date

General Industry/Product Exams

Securities Industry Essentials Examination 10/01/2018SIEB

General Securities Representative Examination 06/13/2012Series 7B

Exam Category Date

State Securities Law Exams

Uniform Securities Agent State Law Examination 07/26/2012Series 63B

Additional information about the above exams or other exams FINRA administers to brokers and other securities professionals can be found atwww.finra.org/brokerqualifications/registeredrep/.





www.finra.org/brokerqualifications/registeredrep/



Professional Designations

This section details that the representative has reported 0 professional designation(s).








Registration History

Registration Dates Firm Name CRD# Branch Location

The broker previously was registered with the following firms:

B 10/2017 - 04/2019 WORDEN CAPITAL MANAGEMENT LLC 148366 New York, NY

B 05/2017 - 09/2017 CRAFT CAPITAL MANAGEMENT LLC 171350 New York, NY

B 11/2016 - 01/2017 WINDSOR STREET CAPITAL, LP 34171 NEW YORK, NY

B 08/2015 - 05/2016 NATIONAL SECURITIES CORPORATION 7569 NEW YORK, NY

B 11/2013 - 09/2015 MEYERS ASSOCIATES, L.P. 34171 NEW YORK, NY

B 09/2013 - 11/2013 LAIDLAW & COMPANY (UK) LTD. 119037 NEW YORK, NY

B 12/2012 - 09/2013 NATIONAL SECURITIES CORPORATION 7569 ISELIN, NJ

B 06/2012 - 11/2012 ALEXANDER CAPITAL, L.P. 40077 NEW YORK, NY

Employment History

Employment Employer Name Investment RelatedPosition Employer Location

This section provides up to 10 years of an individual broker's employment history as reported by the individual broker on the most recently filedForm U4.

Please note that the broker is required to provide this information only while registered with FINRA or a national securities exchangeand the information is not updated via Form U4 after the broker ceases to be registered. Therefore, an employment end date of"Present" may not reflect the broker's current employment status.

10/2017 - Present Worden Capital Management LLC RegisteredRepresentative

Y New York, NY, United States

05/2017 - 09/2017 Craft Capital Management RegisteredRepresentative

Y New York, NY, United States

02/2017 - 05/2017 Unemployed none Y New York, NY, United States

09/2016 - 01/2017 Meyers Associates LP Register Rep Y New York, NY, United States

04/2016 - 09/2016 Unemployed none N New York, NY, United States

08/2015 - 04/2016 NATIONAL SECURITIES CORP REGISTEREDREPRESENTATIVE

Y NEW YORK, NY, UnitedStates

11/2013 - 08/2015 MEYERS ASSOCIATES LP REGISTEREDREPRESENTATIVE

Y NEW YORK, NY, UnitedStates







Employment History, continued

Employment Employer Name Investment RelatedPosition Employer Location

09/2013 - 11/2013 LAIDLAW & COMPANY (UK) LTD REGISTERED REP Y NEW YORK, NY, UnitedStates

12/2012 - 09/2013 NATIONAL SECURITIES CORP REGISTEREDREPRESENTATIVE

Y ISELIN, NJ, United States

05/2012 - 11/2012 ALEXANDER CAPITAL, L.P. TRAINEE N NEW YORK, NY, UnitedStates

04/2011 - 05/2012 UNEMPLOYED UNEMPLOYED N STATEN ISLAND, NY, UnitedStates

Other Business Activities

This section includes information, if any, as provided by the broker regarding other business activities the broker is currently engaged in either asa proprietor, partner, officer, director, employee, trustee, agent or otherwise. This section does not include non-investment related activity that isexclusively charitable, civic, religious or fraternal and is recognized as tax exempt.







Disclosure Events

What you should know about reported disclosure events:

1. All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations,regulatory actions, employment terminations, bankruptcy filings, and criminal or civil judicial proceedings.

2. Certain thresholds must be met before an event is reported to CRD, for example: o A law enforcement agency must file formal charges before a broker is required to disclose a particular criminal event. o A customer dispute must involve allegations that a broker engaged in activity that violates certain rules or conduct governing the

industry and that the activity resulted in damages of at least $5,000. o

3. Disclosure events in BrokerCheck reports come from different sources: o As mentioned at the beginning of this report, information contained in BrokerCheck comes from brokers, brokerage firms and

regulators. When more than one of these sources reports information for the same disclosure event, all versions of the event willappear in the BrokerCheck report. The different versions will be separated by a solid line with the reporting source labeled.

o4. There are different statuses and dispositions for disclosure events:

o A disclosure event may have a status of pending, on appeal, or final.§ A "pending" event involves allegations that have not been proven or formally adjudicated.§ An event that is "on appeal" involves allegations that have been adjudicated but are currently being appealed.§ A "final" event has been concluded and its resolution is not subject to change.

o A final event generally has a disposition of adjudicated, settled or otherwise resolved.§ An "adjudicated" matter includes a disposition by (1) a court of law in a criminal or civil matter, or (2) an administrative

panel in an action brought by a regulator that is contested by the party charged with some alleged wrongdoing.§ A "settled" matter generally involves an agreement by the parties to resolve the matter. Please note that brokers and

brokerage firms may choose to settle customer disputes or regulatory matters for business or other reasons.§ A "resolved" matter usually involves no payment to the customer and no finding of wrongdoing on the part of the

individual broker. Such matters generally involve customer disputes.

For your convenience, below is a matrix of the number and status of disclosure events involving this broker. Further informationregarding these events can be found in the subsequent pages of this report. You also may wish to contact the broker to obtain furtherinformation regarding these events.

Final On AppealPending

Regulatory Event 0 2 0

Customer Dispute 0 6 N/A

Judgment/Lien 2 N/A N/A






Disclosure Event Details

When evaluating this information, please keep in mind that a discloure event may be pending or involve allegations that are contested and havenot been resolved or proven. The matter may, in the end, be withdrawn, dismissed, resolved in favor of the broker, or concluded through anegotiated settlement for certain business reasons (e.g., to maintain customer relationships or to limit the litigation costs associated with disputingthe allegations) with no admission or finding of wrongdoing.

This report provides the information exactly as it was reported to CRD and therefore some of the specific data fields contained in the report maybe blank if the information was not provided to CRD.

Regulatory - Final

This type of disclosure event may involve (1) a final, formal proceeding initiated by a regulatory authority (e.g., a state securities agency, self-regulatory organization, federal regulatory such as the Securities and Exchange Commission, foreign financial regulatory body) for a violation ofinvestment-related rules or regulations; or (2) a revocation or suspension of a broker's authority to act as an attorney, accountant, or federalcontractor.

Disclosure 1 of 2

Reporting Source: Regulator

Regulatory Action InitiatedBy:

FINRA

Sanction(s) Sought: Other: N/A

Date Initiated: 10/27/2021

Docket/Case Number: 2019060753502

Employing firm when activityoccurred which led to theregulatory action:

Worden Capital Management LLC

Product Type: No Product

Allegations: Wilk was named a respondent in a FINRA complaint alleging that he failed toappear for testimony requested by FINRA in connection with its investigation intohis trading in a customer’s account to determine whether the account wasexcessively traded. The complaint alleges that Wilk’s trading in the customer’saccount resulted in a cost to-equity ratio and a turnover rate that exceeded thetraditional benchmarks that generally indicate that excessive trading has occurred.Wilk contacted FINRA to discuss its requests that he appear to testify. During thatcall, Wilk indicated that he would appear for testimony. Later, FINRA requestedthat Wilk provide dates, within the following two weeks, that he was available totestify. Wilk did not provide any dates on which he was available to testify orotherwise respond to FINRA’s request.

Current Status:8�2022 FINRA. All rights reserved. Report about Jason A. WILK.




https://www.finra.org/rules-guidance/oversight-enforcement/finra-disciplinary-actions?search=2019060753502


Current Status: Final

Resolution: Decision

Resolution Date: 03/31/2022

Sanctions Ordered:

Does the order constitute afinal order based onviolations of any laws orregulations that prohibitfraudulent, manipulative, ordeceptive conduct?

No

Bar (Permanent)

If the regulator is the SEC,CFTC, or an SRO, did theaction result in a finding of awillful violation or failure tosupervise?

No

(1) willfully violated anyprovision of the SecuritiesAct of 1933, the SecuritiesExchange Act of 1934, theInvestment Advisers Act of1940, the InvestmentCompany Act of 1940, theCommodity Exchange Act, orany rule or regulation underany of such Acts, or any ofthe rules of the MunicipalSecurities Rulemaking Board,or to have been unable tocomply with any provision ofsuch Act, rule or regulation?

(2) willfully aided, abetted,counseled, commanded,induced, or procured theviolation by any person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any of suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board? or






Regulator Statement Default decision rendered March 3, 2022 wherein Wilk is barred from associationwith any FINRA member in all capacities. The sanction is based on the findingsthat Wilk failed to appear for on-the-record testimony in connection with FINRA’sinvestigation into whether he excessively traded a customer’s account. Thedecision is final on March 31, 2022.


(3) failed reasonably tosupervise another personsubject to your supervision,with a view to preventing theviolation by such person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board?

Capacities Affected: All capacities

Duration: Indefinite

Start Date: 03/31/2022

End Date:

Sanction 1 of 1

Sanction Type: Bar (Permanent)






Regulator Statement Default decision rendered March 3, 2022 wherein Wilk is barred from associationwith any FINRA member in all capacities. The sanction is based on the findingsthat Wilk failed to appear for on-the-record testimony in connection with FINRA’sinvestigation into whether he excessively traded a customer’s account. Thedecision is final on March 31, 2022.

Disclosure 2 of 2

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Reporting Source: Regulator

Regulatory Action InitiatedBy:

FINRA

Sanction(s) Sought: Suspension

Date Initiated: 10/30/2019

Docket/Case Number: 2019062413201

Employing firm when activityoccurred which led to theregulatory action:

N/A

Product Type: No Product

Allegations: Respondent Wilk failed to respond to FINRA request for information.

Current Status: Final

Resolution: Letter

Resolution Date: 11/25/2019

Sanctions Ordered:

Does the order constitute afinal order based onviolations of any laws orregulations that prohibitfraudulent, manipulative, ordeceptive conduct?

No

Suspension

If the regulator is the SEC,CFTC, or an SRO, did theaction result in a finding of awillful violation or failure tosupervise?

No







Regulator Statement Pursuant to FINRA Rule 9552 and in accordance with FINRA's Notice ofSuspension letter dated October 30, 2019, Wilk is suspended on November 25,2019 from associating with any FINRA member firm in all capacities. If Wilk fails torequest termination of the suspension within three months of the date of the Noticeof Suspension, he will automatically be barred on February 3, 2020 fromassociation with any FINRA member in all capacities pursuant to FINRA Rule9552(h).

Suspension lifted on February 21, 2020.


Capacities Affected: All capacities

Duration: n/a

Start Date: 11/25/2019

End Date: 02/21/2020

Sanction 1 of 1

Sanction Type: Suspension






Customer Dispute - Settled

This type of disclosure event involves a consumer-initiated, investment-related complaint, arbitration proceeding or civil suit containing allegationsof sale practice violations against the broker that resulted in a monetary settlement to the customer.

Disclosure 1 of 6

Reporting Source: Firm

Employing firm whenactivities occurred which ledto the complaint:

Allegations:

Worden Capital Management LLC

Common law fraud; negligent misrepresentation; breach of fiduciary duty; failure tosupervise; negligence. Time period of alleged activity: November 2017 throughsummer 2018.

Product Type: Equity-OTCEquity Listed (Common & Preferred Stock)

Alleged Damages: $100,000.00

Date Complaint Received: 10/28/2019

Complaint Pending? No

Status:

Status Date: 06/29/2021

Settlement Amount: $162,500.00

Customer Complaint Information

Settled

Alleged Damages AmountExplanation (if amount notexact):

SOC makes claim for damages between $100,000 and $500,000.

Is this an oral complaint? No

Is this a written complaint? No

Is this an arbitration/CFTCreparation or civil litigation?

Yes

Arbitration/Reparation forumor court name and location:

FINRA Dispute Resolution

Docket/Case #: 19-02607

Filing date ofarbitration/CFTC reparationor civil litigation:

08/29/2019






Individual ContributionAmount:

$0.00

Disclosure 2 of 6

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Reporting Source: Broker


Allegations:

Meyers Associates LP

Unauthorized trading unsuitable

Product Type: Equity-OTC




Status:




$14,999.99


Settled




Yes

Arbitration/Reparation forumor court name and location:

FINRA


Filing date ofarbitration/CFTC reparationor civil litigation:

06/13/2016

Disclosure 3 of 6

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Allegations:

NATIONAL SECURITIES CORP

suitability


Alleged Damages: $0.00



Status:




$0.00


Settled


The firm is unable to make a good faith determination that the damages from thealleged conduct would be less than $5,000.

Is this an oral complaint? Yes



No

iReporting Source: Broker


Allegations:

National Securities Corp

Suitability











Status:




$0.00


Settled


the firm is unable to make a good faith determination that the damages from thealleged conduct would be less than $5000




No

Disclosure 4 of 6

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Allegations:


UNAUTHORIZED TRADING





the firm is unable to make a good faith determination that the damages from thealleged conduct would be less than $5,000.




No








Status:




$0.00


Settled



Allegations:


Unauthorized Trading





Status:




$0.00


Settled


the firm is unable to make a good faith determination that the damages from thealleged conduct would be less that $5000




No







$0.00

Disclosure 5 of 6

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Allegations:


SUITABILITY, UNAUTHORIZED TRADING





Status:




$0.00


Settled


The firm is unable to make a good faith determination that the damages from thealleged conduct would be less than $5,000.


Is this a written complaint? Yes


No



Allegations:


Suitability Unauthorized trading










Status:




$0.00


Settled


The employing firm is unable to make a good faith determination that the damagesfrom the alleged conduct would be greater than $5000.00


Is this a written complaint? Yes


No

Disclosure 6 of 6

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Allegations:

MEYERS ASSOCIATES LP

UNSUITABILITY, UNAUTHORIZED TRANSACTIONS, BREACH OF FIDUCIARYDUTY



Arbitration Information

Arbitration/CFTC reparationclaim filed with (FINRA, AAA,CFTC, etc.):

FINRA







Date Notice/Process Served: 01/08/2016

Arbitration Pending? No

Disposition: Settled

Disposition Date: 03/04/2016

Monetary CompensationAmount:

$10,000.00


$10,000.00




Allegations:

MEYERS ASSOCIATES LP

UNSUITABILITY, UNAUTHORIZED TRANSACTIONS, BREACH OF FIDUCIARYDUTY



Date Notice/Process Served: 01/08/2016

Arbitration Pending? No

Disposition: Settled

Disposition Date: 03/04/2016

Monetary CompensationAmount:

$10,000.00

Arbitration Information


$10,000.00

Arbitration/CFTC reparationclaim filed with (FINRA, AAA,CFTC, etc.):

FINRA







Judgment / Lien

This type of disclosure event involves an unsatisfied and outstanding judgments or liens against the broker.

Disclosure 1 of 2


Judgment/Lien Amount: $4,840.00

Judgment/Lien Holder: Capital One Bank USA NA

Judgment/Lien Type: Civil

Date Filed with Court: 08/28/2018

Judgment/Lien Outstanding? Yes

Type of Court: Civil Court

Name of Court: Civil Court of the City of New York - Richmond Branch

Location of Court: Richmond County, NY

Docket/Case #: CV00205418RI

Date Individual Learned: 09/17/2018

Disclosure 2 of 2

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Judgment/Lien Amount: $7,670.00

Judgment/Lien Holder: Absolute Resolutions Investments

Judgment/Lien Type: Civil

Date Filed with Court: 02/28/2018

Judgment/Lien Outstanding? Yes

Type of Court: Civil Court

Name of Court: Civil Court of the City of New York - Richmond Branch

Location of Court: Richmond County, NY

Docket/Case #: CV00452217RI

Date Individual Learned: 08/28/2018






End of Report

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jason andrew wilk

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