LONG HOANG NGUYEN
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/21/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006999401 TO: Department of Enforcement NASD RE: Long Hoang Nguyen, Respondent Registered Representative CRD No. 2975865 Pursuant to Rule 9216 of NASD Code of Procedure, Long Hoang Nguyen ("Nguyen") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions
Reference 2006006999401data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2975865 |
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