Chia-Ming Hu (CRD #5368992, New York, New York) Alternate Name: MICHAEL HU was barred by FINRA for allegedly failing to provide FINRA-requested testimony involving an investigation into allegations that he and another representative of his member firm concealed trading losses. (FINRA Case #2014043161701) Michael Hu is not currently licensed to act as a broker (buying […]

  Sean K. Hannon (CRD #4296260, Registered Representative, Cary, North Carolina)   has submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Hannan, without admitting or denying FINRA's allegations, consented to the described sanction and to the entry of findings that he failed to provide investigative […]