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Chih-Ming Huang

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/03/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063227101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chih-Ming Huang, Respondent Former Investment Company Shares and Variable Contracts Representative CRD No. 4550102 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Chih-Ming Huang submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019063227101data-portal.finra.orgfinra.org

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