TAIHWA TERRY HO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/09/2005: NASD OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, V. Taihwa Terry Ho (CRD No. 843618), Respondent. Disciplinary Proc. No.: 20042000053-01 Hearing Officer: COMPLAINT Upon information and belief, the alleges as follows: Summary 1. Between July 2002 and May 2003, Taihwa Terry Ho ("Ho"), while employed as a registered representative of Great Eastern Securities, Inc. ("Great Eastern"), participated in a manipulative scheme or course of business designed to (1) inflate
02/21/2006: NASD OFFICE OF HEARING OFFICERS Market Regulation Department, Complainant, v. Taihwa Terry Ho (CRD 843618), Respondent. Disciplinary Proceeding No. 20042000053-01 Hearing Officer - SW ORDER ACCEPTING OFFER OF SETTLEMENT OF TAIHWA TERRY HO Date: February 21, 2006 Disciplinary proceeding number 20042000053-01 was filed on November 9, 2005 by the Department of Market Regulation of NASD ("Complainant"). Respondent Taihwa Terry Ho submitted an Offer
Reference 2004200005301data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 843618 |
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