DIANE QUN ZHU

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/29/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060814701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Diane Zhu Former Investment Company and Variable Contracts Products Representative and Investment Company and Variable Products Principal CRD No. 2962421 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Diane Zhu ("Zhu") submit this Letter of Acceptance, Waiver and Consent ("AWC")
Reference 2018060814701finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2962421

Other names1

Also known as1

Diane Zhu

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