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2019063861401 Jiong Gu CRD 5768477 AWC va (2021-1610756404116).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063861401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jiong Gu (Respondent) Former Associated Person CRD No. 5768477 Pursuant to FINRA Rule 9216, Respondent Jiong Gu submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.