2018058422801 Bruce K. Lee CRD 1464745 AWC jm (2019-1574554787251).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058422801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bruce K. Lee, Respondent CRD No. 1464745 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Bruce K. Lee ("Lee") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
2018057865701 Preston K. Tsao CRD 1892935 AWC va (2019-1574468383685).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057865701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Preston K. Tsao, Respondent Former Registered Representative CRD No. 1892935 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Preston K. Tsao submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.