PETER KAI CHANG
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/25/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PETER KAI CHANG (CRD No. 3219768), Respondent. Disciplinary Proceeding No. 20080153481-01 Hearing Officer - MC DEFAULT DECISION May 25, 2010 Respondent violated Conduct Rule 2110 by willfully failing to amend his Form U4 to disclose that he was charged with four felonies and convicted of two felony charges. Consequently, Respondent is barred from associating with any FINRA member firm in any
Reference 2008015348101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3219768 |
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