SAMUEL Y. LIU

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/12/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005810101 TO: Department of Enforcement NASD RE: Samuel Y. Liu, Respondent CRD No. 704382 Pursuant to Rule 9216 of NASD Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging violations based on the same
Reference 2006005810101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	704382

Other names1

Also known as1

SAMUEL YUNGKONG LIU

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