2021069373001 David Wong CRD 4689031 OHO Decision ks.pdf
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1 Articles
2021069373001 David Wong CRD 4689031 OHO Decision ks.pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID WONG (CRD No. 4689031), Respondent. Disciplinary Proceeding No. 2021069373001 Hearing Officer–MC HEARING PANEL DECISION April 21, 2025 Respondent David Wong is barred from associating with any FINRA member firm in any capacity for converting and misusing customer funds.
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