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JACKIE JUM HWA BAE-KINGKEO

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

    04/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040779901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jackie Jum Hwa Bae-Kingkeo (CRD No. 2231182), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Jackie Jum Hwa Bae-Kingkeo ("Bae-Kingkeo" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2014040779901data-portal.finra.orgfinra.org

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