GlobaLink Securities Inc.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/11/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070607401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: GlobaLink Securities Inc. (Respondent) Member Firm CRD No. 29721 Pursuant to FINRA Rule 9216, Respondent GlobaLink Securities Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2021070607401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/14/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009018818901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: GlobaLink Securities, Inc., Respondent Member Firm CRD No. 29721 Junhua (Michael) Liao, Respondent General Securities Representative General Securities Principal Registered Options Principal Options Registered Representative CRD No. 4278425 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents GlobaLink
Reference 2009018818901data-portal.finra.org finra.org

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