Jae Hun Kim
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/19/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021073232401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jae Hun Kim (Respondent) Former General Securities Principal; Former General Securities Representative; Former Registered Options Principal CRD No. 4620963 Pursuant to FINRA Rule 9216, Respondent Jae Hun Kim submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2021073232401data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4620963 |
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