Lickhai Quach
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/07/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078163901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lickhai Quach (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 2804704 Pursuant to FINRA Rule 9216, Respondent Lickhai Quach submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2023078163901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2804704 |
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