Sung Moo Cho
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/25/2026: Cho refused to provide information and documents as requested by FINRA pursuant to FINRA Rule 8210 in connection with FINRA’s investigation into, among other things, whether Cho misappropriated customer funds, forged customer signatures, and falsified firm documents while associated with Ameriprise and Citigroup. As a result, Cho violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.
Reference 2026090120801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5015906 |
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