FION LO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/10/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C01050009 TO: Department of Enforcement NASD RE: Fion Lo Investment Company Products / Variable Contracts Representative CRD No. 4628942 Pursuant to Rule 9216 of NASD Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions
Reference C01050009finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4628942 |
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