Jiong Gu
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/16/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063861401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jiong Gu (Respondent) Former Associated Person CRD No. 5768477 Pursuant to FINRA Rule 9216, Respondent Jiong Gu submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019063861401finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5768477 |
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