2022075150801 Jilena Yuen-Mok CRD 6115674 AWC vr (2023-1702599600737).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022075150801
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Jilena Yuen-Han Mok (Respondent)
General Securities Representative
CRD No. 6115674
Pursuant to FINRA Rule 9216, Respondent Jilena Yuen-Han Mok submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2018060369501 Puma Capital, LLC CRD 146744 AWC lp (2023-1702513198033).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018060369501
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Puma Capital LLC (Respondent)
Member Firm
CRD No. 146744
Pursuant to FINRA Rule 9216, Respondent Puma Capital LLC submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.