STEVE JUN LU

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/07/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058642601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Steven Jun Lu, Respondent Investment Company and Variable Contracts Products Representative CRD No. 6856088 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Steven Jun Lu submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2018058642601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6856088

Other names1

Also known as1

Steven Jun Lu

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