JIM CAO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/15/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jim Cao, CRD No. 5196343, Respondent. Disciplinary Proceeding No. 2011027365201 Hearing Officer RLP ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 15, 2013 INTRODUCTION Disciplinary Proceeding No. 2011027365201 was filed on March 21, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Jim Cao submitted an Offer of Settlement (Offer)
Reference 2011027365201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5196343 |
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