JOHN HSU
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/03/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PYRAMID FINANCIAL CORPORATION (CRD No. 23181), and JOHN HSU (CRD No. 1190718) Respondents. Disciplinary Proceeding No. 20080116005-01 Hearing Officer - MAD DEFAULT DECISION March 3, 2011 Respondent Pyramid is fined a total of $55,000, jointly and severally with Respondent Hsu: a $35,000 fine for willfully failing to preserve electronic communications, in violation of Exchange Act Rule 17a-4 and
Reference 2008011600501finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2911608 |
Other names1
Also known as1
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