Jiacheng Zhou | FINRA Disciplinary Action

March 30, 2021

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067118901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jiacheng Zhou, Respondent Former Investment Banking Representative CRD No. 7043791 Pursuant to FINRA Rule 9216, Respondent Jiacheng Zhou submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Case ID Number: 2020067118901

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