Angela Shuhui Kao (CRD #3003099, Registered Representative, Diamond Bar, California) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $10,000 and suspended from association with any NASD member in any capacity for 40 business days. The fine must be paid before Kao reassociates with any NASD member following the suspension, or before she requests relief from any statutory disqualification. Without admitting or denying the findings, Kao consented to the described sanctions and to the entry of findings that, while associated with a member firm, she maintained personal brokerage accounts at other member firms without giving prompt written notice to her member firm that she had accounts with those firms, and without notifying those firms of her association with her member firm. The findings stated that Kao participated in private securities transactions without giving prior written notice to her member firm.
The suspension in any capacity is in effect from January 16, 2007, through March 13, 2007. (NASD Case #20060041966-01)

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