RICHARD KWOCK SING LEE is currently employed as a Broker and/or Investment Adviser at SECURITIES AMERICA, INC. located at 1585 KAPIOLANI BLVD, SUITE 1520, HONOLULU, HI, 96814.
RICHARD KWOCK SING LEE has worked at SECURITIES AMERICA, INC. since February 28, 2007
Disclosure History
RICHARD KWOCK SING LEE has 1 Disclosure Event(s).
Date: July 01, 1984 Category: Regulatory Initiated By: STATE OF ALASKA SECURITIES DEPT Allegations: OFFERING OF PARTNERSHIP UNITS, TO ALASKARESIDENTS, THAT WERE NOT REGISTERED IN ALASKA Resolution: Decision SanctionDetails: Sanctions: Cease and Desist/Injunction Sanction Details: NONE AS WE AGREED TO STOP IMMEDIATELY Broker Comment: UPON ADVICE AND APPROVAL OF LOCAL ATTORNEY ANDGENERAL PARTNER, WE OFFERED PURCHASE OF PARTNERSHIP UNITS INHANSON REGISTERED PARTNERSHIP DURING A TWO WEEK PLEASURE TRIPTO JUNEAU. OUR BROKER-DEALER AT THAT TIME HAD GIVEN HISAPPROVAL AND WE PROCEEDED MARKETING BY PLACING AN AD IN THEJUNEAU NEWSPAPER. THE ONLY CALL WE RECEIVED IN JUNEAU WAS FROMTHEIR REGULATORY AGENCY PERSON AND WE WERE SERVED WITH A CEASEAND DESIST. WE STOPPED IMMEDIATELY AND NO FURTHER ACTION WASTAKEN
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