Sukthavy Sisamouthp

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/28/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075269901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Sukthavy Sisamouthp (Respondent) Former Associated Person CRD No. 6429670 Pursuant to FINRA Rule 9216, Respondent Sukthavy Sisamouthp submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2022075269901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6429670

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