For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Wai Keung Man submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. In the Matter of Wai Keung Man, Respondent (AWC 2011028139-01, March 25, 2013). …read more
Source: FULL ARTICLE at Forbes Latest