NICK JAY LIANG
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/19/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. NICK JAY LIANG (CRD No. 3168199), Respondent. Disciplinary Proceeding No. 2009019205301 Hearing Officer - Sara Nelson Bloom DEFAULT DECISION September 19, 2011 Respondent is barred from associating with any FINRA registered firm in any capacity for failing to appear and provide testimony, in violation of Procedural Rule 8210 and Conduct Rule 2010. In light of the bar, no additional sanctions were
Reference 2009019205301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3168199 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.