AMBROSE K. KU

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/07/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C02050017 TO: Department of Enforcement NASD RE: Ambrose K. Ku, Associated Person CRD No. 4278720 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 C02050017data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4278720

Other names1

Also known as1

AMBROSE KINHO KU

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.