JAOSHIANG LUO

02/20/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Juan Carlos Parets (CRD No. 4839759), and Jaoshiang Luo (CRD No. 2143876), and Shawn Charles Haynes (CRD No. 2939522), Respondents. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between March 2009 and July 2010 (the "relevant period"), while they were registered with Westrock Advisors, Inc. ("Westrock Advisors"),

10/28/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAOSHIANG LUO (CRD No. 2143876), Respondent. Disciplinary Proceeding No. 2011026346206 Hearing Officer-LOM HEARING PANEL DECISION October 28, 2014 Respondent knowingly or, at a minimum, recklessly sold promissory notes issued by the parent company of his broker-dealer firm on the basis of false statements of material fact and misleading omissions of material fact, in violation of Section 10(b) of

01/13/2017: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, VS. Jaoshiang Luo Flushing, NY, Respondent. DECISION Complaint No. 2011026346206 Dated: January 13, 2017 Registered representative made material misrepresentations and omissions in connection with the sale of notes, sold the notes without a reasonable basis for believing they were suitable for any investor, and sold the notes to two investors for whom they

Reference 2011026346206data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org