JOANNA KING CHEUNG

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/02/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Joanna King Cheung, (CRD No. 3058119), Respondent. DISCIPLINARY PROCEEDING No. 20070082842-01 COMPLAINT The Department of Enforcement alleges: 1. Respondent Joanna King Cheung (Cheung or Respondent) entered the securities business as an Investment Company-Variable Contracts Products Representative of a member of FINRA (f/k/a National Association of Securities Dealers or NASD) in June 1998. In
02/04/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOANNA KING CHEUNG (CRD No. 3058119), Respondent. Disciplinary Proceeding No. 20070082842-01 Hearing Officer-Andrew H. Perkins DEFAULT DECISION February 4, 2008 Respondent is barred from associating with any member firm for misappropriating customer funds, in violation of Conduct Rule 2110, and failing to appear for her scheduled on-the-record interview, in violation of Procedural Rule 8210 and
Reference 2007008284201data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3058119

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