GUANG LU

05/09/2006: United States Court of Appeals FOR THE DISTRICT OF COLUMBIA CIRCUIT No. 05-1153 Guang Lu, PETITIONER V. SECURITIES AND EXCHANGE COMMISSION, RESPONDENT September Term, 2005 FILED ON: MAY 9, 2006 [967128]On Petition for Review of an Order of the Securities and Exchange Commission Before: GINSBURG, Chief Judge, and SENTELLE and BROWN, Circuit Judges. JUDGMENT This appeal was considered on the record from the Securities and Exchange Commission and on the briefs by the parties and oral arguments of counsel. The

01/14/2005: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 51047 / January 14, 2005 Admin. Proc. File No. 3-11522 In the Matter of the Application of GUANG LU 7 Silver Kettle Court Gaithersburg, MD 20878 For Review of Disciplinary Action Taken by NASD OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY PROCEEDINGS Violations of Rules of Fair Practice Failure to Give Notice to Member and Executing Firm Failure to Obtain Written Authorization

Reference C9A020052data-portal.finra.orgdata-portal.finra.orgfinra.org