Tag Archives: Sharon Melinda Kwan

NPC Stockbroker Suspended For Outside Business Activities

October 03, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Sharon Melinda Kwan, of Arcadia, California, a stockbroker formerly registered with National Planning Corporation, has been fined $15,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she engaged in outside business activities and established unapproved customer bank accounts. Letter […]

Read More »