KAI CHONG CHENG
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013039305101 TO: Department of Enforcement Financial Industry Regulatory Aulhority ("FINRA") RE: Kai Chong Cheng, Respondent CRD No. 4987533 Pursuant to FINRA Rule 9216 of FINRA's Code of Proccdure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted
Reference 2013039305101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4987533 |
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