Defendant Name:
David F. Wong
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of David F. Wong
First Document Date
01-May-2017
Initial Filing Format
Administrative Action
File Number
3-17955
Allegation Type
Broker Dealer
Affiliations
- Former: Trader at Barclays Capital Inc. (September 2008—August 2016)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 12 months
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter for 12 months
First Resolution Date
01-May-2017
Headline Total Penalty and Disgorgement
$125,000
