Nex Systems
Person

SEE WING YEE

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/18/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SEE WING YEE (CRD No. 1976459) Respondent. Disciplinary Proceeding No. 20050021446-01 Hearing Officer - DRP ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 18,2007 INTRODUCTION Disciplinary Proceeding No. 20050021446-01 was filed on March 15, 2007, by the Department of Enforcement of NASD ("Complainant"). Respondent See Wing Yee submitted and Offer of Settlement ("Offer") to Complainant on June 13, 2007. Pursuant to Code of Procedure

    Reference 2005002144601data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1976459

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