Samuel Frederick Lek

11/26/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Lek Securities Corp., CRD No. 33135, and Samuel Frederik Lek, CRD No. 1642936, Respondents. Disciplinary Proceeding No. 2015045312501 Hearing Officer: ________ COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. Between January 2014 and December 2016 (the "Relevant Period"), Lek Securities Corporation

Reference 2015045312501data-portal.finra.orgfinra.org

12/30/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. LEK SECURITIES CORPORATION (CRD No. 33135), and SAMUEL FREDERIK LEK (CRD 1642936), respondents. Disciplinary Proceeding No. 2009020941801 Hearing Officer-LOM HEARING PANEL DECISION December 30, 2014 The Respondent Firm failed to establish and implement anti-money laundering policies and procedures that were reasonably designed to achieve compliance with the

Reference 2009020941801data-portal.finra.orgfinra.org

12/20/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Lek Securities Corp., CRD No. 33135, and Samuel Frederik Lek, CRD No. 1642936, Respondents. Disciplinary Proceeding No. 2015045312501 Hearing Officer - DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 20, 2019 INTRODUCTION Disciplinary Proceeding No. 2015045312501 was filed on November 26, 2018, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or

Reference 2015045312501finra.orgdata-portal.finra.org

12/17/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Lek Securities Corporation (CRD No. 33135), and Samuel Frederik Lek (CRD No. 1642936), Respondents. Disciplinary Proceeding No. 20110297130-04 Hearing Officer - MC ORDER ACCEPTING OFFER OF SETTLEMENT December 17, 2019 INTRODUCTION Disciplinary Proceeding No. 20110297130-04 was filed on March 27, 2017, by the Financial Industry Regulatory Authority’s (“FINRA” or the “Complainant”) Department of Enforcement.1 Respondents Lek Securities Corporation (“LSCI” or the “Firm”) and Samuel

03/27/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Lek Securities Corporation (CRD No. 33135), and Samuel Frederik Lek (CRD No. 1642936), Respondents. Disciplinary Proceeding No. 20110297130-04 COMPLAINT The Department of Market Regulation alleges that: Summary 1. Between October 1, 2010 and June 30, 2015 (the "relevant period"), Lek Securities Corporation ("LSCI" or the ''Firm") and its CEO, Samuel Frederik Lek ("Lek"), aided and abetted

Reference 2011029713004data-portal.finra.orgdata-portal.finra.orgfinra.org