Nex Systems
Person

YALING LIN

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

    10/04/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049275601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Yaling Lin, Respondent Investment Company/Variable Contracts Products Representative CRD No. 5818148 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Yaling Lin ("Respondent") submits this Letter of Acceptance. Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2016049275601data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5818148

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