CHARLES CHUL NAM

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/14/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHARLES CHUL NAM (CRD No. 2565046), Respondent. Disciplinary Proceeding No.2011026514001 Hearing Officer - AWL DEFAULT DECISION November 14, 2012 Respondent is barred from associating with any FINRA member firm in any capacity for (1) making fraudulent misrepresentations in connection with the sale of securities, in violation of Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, NASD Rules
06/20/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Charles Chui Nam (CRD No. 2565046), Respondent. DISCIPLINARY PROCEEDING NO. 2011026514001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between January 2007 and August 2010 (the "Relevant Period"), Nam in the course of offering and selling securities engaged in a scheme to defraud five investors of funds totaling $792,750. Nam made untrue statements of material face, falsely
Reference 2011026514001data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2565046

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