KYONG K LEE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/10/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C9A050007 TO: Department of Enforcement NASD RE: Kyong K. Lee, Respondent CRD No. 2926153 Pursuant to Rule 9216 of NASD's Code of Procedure, Kyong K. Lee 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 against me alleging violations based on the same
Reference C9A050007data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2926153 |
Other names1
Also known as1
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