MARIA Y. TIONGSON
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/22/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009018202201 TO: Department of Enforcement Financial industry Regulatory Authority ("FINRA") RE: Maria Y. Tiongson, Respondent CRD No. 4641219 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Maria Y. Tiongson ("I," "Tiong-son" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2009018202201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4641219 |
Other names1
Also known as1
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