Bright Light Advisors Enters Consent Order with California

Hungkwang Wu (CRD #1585449), who is also known as Hung Kwang Wu, or David H. Wu and Bright Lights Advisors have entered into a consent order with the State of California. The order resolves complaints related to Bright Lights failure to provide documents to the state. Print this Article

Patrick Beresh Enters Consent Order over Preferential Trading

Patrick Beresh (CRD #3113695) of PMB Advisors has entered into a consent order with the state of California. The order resolves complaints related to block trading activity. According to the order, Patrick Beresh showed preferential allocation of profits on a stock called Soliton Inc. (SOLY). Did You Lose Money with Patrick Beresh? Notice: JavaScript is […]

Peter Cunningham Enters Consent Order over UIT Sales

Beverly Hills, California advisor Peter Cunningham (CRD #2400211) entered into a consent order with the state of California. The order resolves complaints related to short term trading of UITs at StockCross. According to information accessed from FINRA on November 11, 2021, Peter Cunningham is currently registered with Muriel, Siebert & Co. as well as Siebert […]