DANIEL SOOHWAN KIM
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/09/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E022004044101 TO: Department of Enforcement NASD RE: Daniel Soohwan Kim. Respondent Investment Company Products/Variable Contracts Representative General Securities Representative CRD No. 2598668 Pursuant to Rule 9216 of NASD Code of Procedure, I, Daniel Soohwan Kim ("Kim"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference E022004044101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2598668 |
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