MICHAEL T. HUANG
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/17/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL T. HUANG (CRD No. 4570554), Respondent. Disciplinary Proceeding No. 2005000476101 Hearing Officer - SNB Default Decision April 17,2006 For failing to provide requested information, in violation of Rules 8210 and 2110, Respondent is barred from associating with any NASD member in any capacity. In light of this bar, no farther sanctions are imposed for Respondent's Rule 2110 violation for acting as an imposter in connection
Reference 2005000476101finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4570554 |
Other names1
Also known as1
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