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FINRA Broker Allegations

Allegations against: Christopher Thomas Tolmacs

Allegation type: Regulatory

Allegation status: Final

The allegations read: The administrator intends to revoke the investment adviser representative and securities agent registrations of christopher t. Tolmacs under section 412(2) of the securities act, mcl 451.2412(2), because he failed to timely update his form u4; he willfully violated the securities act; he is subject to a finra bar; he impeded the bureau's examinations of xxxxx and the triad branch office; and he has engaged in dishonest and unethical business practices in the securities industry within the previous 10 years, all of which support the revocation of his investment adviser representative and securities agent registrations under the above-cited provisions of the michigan uniform securities act (2002), 2008 pa 551, mcl 451.2101 et seq.

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