JUDY L CHANG

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/07/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034011701 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA") RE: Judy L. Chang, Respondent Investment Company Products/Variable Contracts Representative CRD No. 2485754 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Judy L. Chang (Chang or Respondent), submit this Letter of Acceptance, Waiver and Consent (“AWC") for the purpose of proposing
Reference 2012034011701finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2485754

Other names1

Also known as1

JUDY L. CHANG

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