CHANTHA OWEN LUEUNG

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/08/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050016 TO: Department of Market Regulation NASD FROM: Chantha Owen Lueung CRD No. 2839141 Pursuant to Rule 9216 of NASD Code of Procedure, I, Chantha Owen Lueung ("Lueung"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part Il below. I submit this AWC on the condition that, if accepted, NASD will not bring any future actions against me alleging violations
Reference CLG050016data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2839141

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