DAVID G ZENG

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/19/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012031136601 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: David G. Zeng, Respondent CRD No. 4303055 . Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, David G. Zeng ("Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement ofthe alleged rule violations described below.'This AWC is submitted on the .
Reference 2012031136601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4303055

Other names1

Also known as1

DAVID G. ZENG

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