Ki-Moon Kim
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/01/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C3A050006 TO: Department of Enforcement NASD RE: Ki-Moon Kim, Respondent General Securities Representative CRD No. 4765910 Pursuant to Rule 9216 of NASD Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part H below. This AWC is submitted on the condition that, if accepted, NASD
Reference C3A050006data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4765910 |
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.