KHOI DANH NGUYEN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/06/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032758701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Khoi D. Nguyen, Respondent Investment Company and Variable Contracts Products Representative [CRD No. 4640647] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Khoi D. Nguyen, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2012032758701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4640647

Other names1

Also known as1

Khoi D. Nguyen

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.