Hung Brandon Ly
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/22/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065906301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Hung Brandon Ly (Respondent) Former General Securities Representative CRD No. 5500875 Pursuant to FINRA Rule 9216, Respondent Hung Brandon Ly submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020065906301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5500875 |
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