Quang V. Mai

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/09/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074465001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Quang V. Mai (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6937503 Pursuant to FINRA Rule 9216, Respondent Quang V. Mai submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2022074465001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6937503

Other names1

Also known as1

Quang Vinh Mai

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.