Defendant Name: David F. Wong

Defendant Type: Individual

Document Reference: 34-80562

Document Details

Legal Case Name In the Matter of David F. Wong
Document Name Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date 01-May-2017
Document Format Administrative Proceeding
File Number 3-17955
Allegation Type Broker Dealer
Document Summary

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order
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
Monetary Penalties:

Civil Penalty

Individual:     $125,000.00 Shared:    

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In the Matter of Yoon Seok Lee