Stephanie J. Xiao
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/13/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073907301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephanie J. Xiao (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 7013792 Pursuant to FINRA Rule 9216, Respondent Stephanie J. Xiao submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2022073907301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 7013792 |
Other names1
Also known as1
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