JACKIE GEE-KIT TO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/10/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002832901 TO: Department of Enforcement NASD RE: Jackie Gee-Kit To, Respondent General Securities Representative, Research Analyst (CRDNo.4866284) Pursuant to Rule 9216 of NASD Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted NASD will not bring any future
Reference 2005002832901finra.orgdata-portal.finra.org
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