2020066794901 Jue-Hua Rae Yau CRD 5664387 AWC sl (2021-1623370822108).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020066794901
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jue-Hua Rae Yau (Respondent)
General Securities Representative (GSR)
CRD No. 5664387
Pursuant to FINRA Rule 9216, Respondent Jue-Hua Rae Yau submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
19-00519(2).pdf
Motion to Vacate
2019064630801 Candido J. Viyella CRD 1829255 AWC sl (2021-1623370822468).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019064630801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Candido J. Viyella (Respondent)
Former General Securities Representative and Investment Banking Representative
CRD No. 1829255
Pursuant to FINRA Rule 9216, Respondent Candido J. Viyella submits this Letter of
Acceptance, Waiver, and Consent (AWC)
2020068815701 Hung Sam CRD 6065447 AWC sl (2021-1623370822596).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2020068815701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Hung Sam (Respondent)
Former General Securities Representative
CRD No. 6065447
Pursuant to FINRA Rule 9216, Respondent Hung Sam submits this Letter of Acceptance,
Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule
violations described below.
2019063752801 Lance Damion Lienart CRD 2623132 AWC sl (2021-1623370823944).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019063752801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Lance Damion Lienart (Respondent)
Former General Securities Representative
CR0 No. 2623132
Pursuant to FINRA Rule 9216, Respondent Lance Damion Lienart submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2021070234801 Francisco W. Coronel CRD 5001727 AWC sl (2021-1623370821524).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2021070234801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Francisco W. Coronel (Respondent)
Former Investment Company and Variable Contracts Products Representative
CRD No. 5001727
Pursuant to FINRA Rule 9216, Respondent Francisco W. Coronel submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.