TAG | Julie Sheau Lin Ting
Julie Sheau Lin Ting (CRD # 1683235, Registered Representative, Monterey Park, California) submitted a Letter of Acceptance, Waiver and Consent in which she was suspended from association with any FINRA member in any capacity for 12 months. In light of Ting’s financial status, no monetary sanction was imposed. Without admitting or denying the findings, Ting consented to the described sanction and to the entry of findings that she participated in private securities transactions without prior written notice to, or written permission from, her member firm to engage in the transactions, for which she received compensation. The findings stated that Ting referred investors, some of whom were her firm’s customers, to entities from which some of these investors purchased securities in the form of promissory notes and stock. The findings also stated that Ting received approximately $259,958 as compensation for her referrals of investors.
This information is available on the FINRA website’s Disciplinary Actions.
If you have been a victim of the alleged fraudulent schemes of Julie Sheau Lin Ting, or a similar situation, call a Securities Arbitration Lawyer for a free consultation on how to recover your losses. To speak with an attorney, call 888-760-6552, or visit www.stockmarketlawsuit.com. Soreide Law Group, PLLC., representing investors nationwide before FINRA the Financial Industry Regulatory Authority.
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