KA KEUNG LAM
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/08/2017: FINANCIAL INDUSTRY REGULATORY AUTHORIIY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050091701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ka Keung Lam, Respondent CRD No. 3074213 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Ka Keung Lam ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if
Reference 2016050091701finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3074213 |
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