MEL TSAO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/08/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100251406 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Melvin Tsao (CRD# 4083764) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Melvin Tsao ("Tsao," or "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 accepted
Reference 2010025140601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4083764

Other names1

Also known as1

MELVIN TSAO

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