PRESTON KAISHEN TSAO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/21/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057865701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Preston K. Tsao, Respondent Former Registered Representative CRD No. 1892935 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Preston K. Tsao submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2018057865701finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1892935

Other names1

Also known as1

Preston K. Tsao

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