CHUNG D. TRAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/07/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHUNG DINH TRAN, also known as TONY TRAN (CRD No. 5032068), Respondent. Disciplinary Proceeding No. 20060051879-01 Hearing Officer-Andrew H. Perkins DEFAULT DECISION August 7, 2007 Respondent is barred from associating with any FINRA member firm in any capacity for: (1) filing a false Form U-4, in violation of Conduct Rule 2110 and IM-1000-1; and (2) failing to respond to requests for information,
Reference 2006005187901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5032068

Other names1

Also known as1

CHUNG DINH TRAN

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