JOHNATHAN M LO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/01/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046501101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Johnathan M. Lo, Respondent Registered Representative CRD No. 4838748 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Johnathan M. Lo (''Respondent" or "Lo"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This
Reference 2015046501101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4838748

Other names1

Also known as1

Johnathan M. Lo

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.