FAI W WONG

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/08/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FAI W.WONG (CRD No. 2596128), Respondent. Disciplinary Proceeding No. 2005000464401 Hearing Officer - Andrew H. Perkins ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 8, 2006 INTRODUCTION NASD Disciplinary Proceeding No. 2005000464401 was filed on March 7, 2006, by the Department of Enforcement of NASD ("Complainant"). Respondent Fai W. Wong ("Respondent") submitted an Offer of Settlement ("Offer") to Complainant on May 26, 2006.
Reference 2005000464401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2596128

Other names1

Also known as1

FAI W. WONG

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