WENGE HU
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/14/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0120040272-02 TO: Department of Enforcement NASD RE: Wenge Hu General Securities Representative CRD No. 4575949 Pursuant to Rule 9216 of NASD Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging violations based on
Reference E012004027202data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4575949 |
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