HANSEL CLARENCE CUA LEE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/12/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HANSEL CLARENCE LEE (CRD No. 3259991) Respondent. Disciplinary Proceeding No. 2008015280701 Hearing Officer - RSH DEFAULT DECISION November 12, 2010 For conversion of customer funds, in violation of Rules 2330 and 2110, and for failure to provide requested information, in violation of Rules 8210, 2110, and 2010, the Respondent
06/17/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, HANSEL CLARENCE LEE CRD#3259991 Responet DISCIPLINARY PROCEEDING No. 2008015280701 COMPLAINT The Department of Enforcement ("Enforcement") alleges: OVERVIEW 1. Respondent Hansel Clarence Lee ("Lee") misused and misappropriated customer funds while working Investment Services, under the auspices of his member
Reference 2008015280701data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3259991 |
Other names1
Also known as1
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