RYAN KIMURA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/05/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20070108894 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ryan Kimura, Respondent Registered Representative CRD No. 2974352 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition
Reference 2007010889401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2974352

Other names1

Also known as1

RYAN M KIMURA

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