CHING AUL

07/08/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Ching Aul (CRD No. 4608307), Respondent DISCIPLINARY PROCEEDING NO. 2007009347901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From November 2006 through April 2007, Ching Aul falsified 13 letters of authorization (LOAs) and used them to convert over $1.5 million from four customer accounts. 2. As part of its investigation into these activities, and pursuant to NASD Rule 8210, FINRA

11/06/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHING AUL (CRD No. 4608307), Respondent. Disciplinary Proceeding No. 2007009347901 DEFAULT DECISION Hearing Officer LBB November 6, 2008 Respondent is barred for falsification of letters of authorization and submission of the falsified documents to his firm in violation of Conduct Rule 2110, conversion of customer funds in violation of Conduct Rules 2330(a) and 2110, and failure to

Reference 2007009347901data-portal.finra.orgdata-portal.finra.orgfinra.org