PETER S. CHUNG

07/19/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Peter S. Chung, CRD No. 1700865, Respondent. Disciplinary Proceeding No. 2008011675301 Hearing Officer - MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 19, 2013 INTRODUCTION Disciplinary Proceeding No. 2008011675301 was filed on September 25, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). A hearing on the merits was held from May 14,

09/25/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Timothy B. Ruggiero [CRD No. 2119642] and Peter S. Chung [CRD No. 1700865] Respondents Disciplinary Proceeding 2008011675301 Hearing Officer The Department of Enforcement alleges: SUMMARY 1. Between February 2006 and October 2007, Timothy B. Ruggiero, the CEO of Brookshire Securities Corporation ("Brookshire"), and Peter S. Chung, a registered representative of Brookshire who indirectly held a

Reference 2008011675301data-portal.finra.orgdata-portal.finra.orgfinra.org